[List of CFR Sections Affected (LSA), 1986-2000, Volume II (Titles 17 through 27)]
[From the U.S. Government Printing Office, www.gpo.gov]

 
Title 17




1986

17 CFR
51 FR
Page
Chapter I
1 Authority citation revised; section authority citations removed
2691, 17473
Occupational categories list revised...........................26236
1.3 (z)(1) introductory text, (iii), and undesignated text revised
(effective date pending)...................................17473
Eff. 8-1-86....................................................27529
1.10 (j)(3) revised................................................45760
1.35 (d), (e) and (g) revised; (i) added; eff. 10-1-86 and 1-1-87
2691
1.46 (d)(1) revised (effective date pending).......................17473
Eff. 8-1-86....................................................27529
1.59 Added; eff. 6-12-87...........................................44869
1.61 (b)(2) and (c) revised (effective date pending)...............17473
Eff. 8-1-86....................................................27529
2 Authority citation revised.......................................37177
2.2 (b) revised....................................................37177
3 Registration expiration date deferred............................34458
3.2 (d) revised....................................................34460
3.11 Revised.......................................................34460
3.31 (d) added.....................................................34460
3.44 Added.........................................................45760
3.45 Added.........................................................45761
3.46 Added.........................................................45761
3.47 Added.........................................................45761
5 Authority citation revised.......................................17473
5.2 Revised (effective date pending)...............................17473
Eff. 8-1-86....................................................27529
5.4 Added (effective date pending).................................17474
Eff. 8-1-86....................................................27529
5 Appendix B amended...............................................21150
12.13 (b)(4) revised...............................................35507
15 Authority citation revised; section authority citations removed
4717
15.00 (l) added; eff. 8-1-86........................................4717
15.03 (a) revised..................................................21344
16 Authority citation revised; section authority citations removed
4717
Authority citation revised.....................................17474
Occupational categories list revised...........................26236
16.00 (b) revised; eff. 8-1-86......................................4717
16.01 (d) revised; eff. 8-1-86......................................4717
(a) (5), (6), and undesignated text revised; (a)(7) added......17474
16.02 (b) revised; eff. 8-1-86......................................4718
(a) introductory text, (1)(i) (A), (B), and (C), and (ii) (A)
through (D) revised; (a)(1)(i) (D) and (E) removed; (a)(1)(iv)
added..............................................................17474
16.04 (b) revised; eff. 8-1-86......................................4718
16.05 Removed......................................................17474
16.06 Revised; eff. 8-1-86..........................................4718
16.07 Added; eff. 8-1-86............................................4718
17 Authority citation revised; section authority citations removed
4718
17.00 (a)(1) revised; (g) and (h) added; eff. 8-1-86................4718
17.01 (a) and (c) revised; eff. 8-1-86..............................4719
17.02 Revised; eff. 8-1-86..........................................4719
17.03 Revised; eff. 8-1-86..........................................4719
18 Authority citation revised; section authority citations removed
4720
18.04 (a) (5), (8), and (9), (b)(3) and (c)(6) revised; eff. 8-1-
86..........................................................4720
21 Authority citation revised; section authority citations removed
4720
21.02 Heading and introductory text revised; eff. 8-1-86............4720
21.02a Heading, (a) introductory text, (b) (1), (3), and (4) (iv)
and (x) revised; eff. 8-1-86................................4720
32 Order...........................................................12698
33.4 Introductory text republished; (a)(6)(i) revised (effective
date pending)..............................................11906

[[Page 2]]

(a)(5)(ii) and (b)(2) removed; (a)(5)(iii) and (6)(ii), (b)(4)
introductory text, (i), and (iii), (6), and (8) revised (effective
date pending)......................................................17474
(a)(6)(i) revision eff. 6-3-86.................................21344
(a)(5)(ii) and (b)(2) removal and (a)(5)(iii) and (6)(ii),
(b)(4) introductory text, (i), and (iii), (6), and (8) revisions
eff. 8-1-86........................................................27529
33.5 (c) revised (effective date pending)..........................17475
Eff. 8-1-86....................................................27529
33.7 (b)(2) introductory text and (i), (3), and (5), (c), and (d)
revised; (b)(2)(ii) removed; (b)(2) (iii) through (viii)
redesignated as (b)(2) (ii) through (vii) (effective date
pending)...................................................17475
Eff. 8-1-86....................................................27529
145.0 Revised......................................................26869
145.2 Revised......................................................26869
145.3 Removed......................................................26869
145.4 Revised......................................................26869
145.5 Heading and introductory text revised........................26870
145.6 Heading, (a), and (b)(2) revised.............................26870
145.7 Revised......................................................26870
145.9 Revised......................................................26871
145 Appendix A added...............................................26874
146.9 (f) added....................................................26874
148 Authority citation revised.....................................18880
148.1 Revised......................................................18880
148.2 Revised......................................................18880
148.3 (a) and (b) revised..........................................18880
148.4 (b)(1) and (2) amended; (b)(5) and (e) revised; (b)
introductory text republished..............................18880
148.5 (a) revised..................................................18880
148.11 (a) and (b) introductory text revised.......................18881
148.26 (a) revised.................................................18881
148.28 Revised.....................................................18881
149 Added...................................................22889, 22896
149.170 (c) revised................................................22889
Chapter II
200 Authority citation amended.........................1784, 4305, 25684
200.16a Added.......................................................4305
200.30-1 (d) revised...............................................18882
(f)(12) added..................................................25881
(f)(13) added..................................................44275
200.30-3 (a)(46) added...............................................739
(a)(27) revised.................................................1785
(a)(35) revised................................................25882
200.30-6 (a)(3) revised............................................18882
200.30-15 Added....................................................25684
200.80 (c)(1)(iii) introductory text corrected......................5703
200.80e Revised....................................................40790
200.503 Introductory text amended...................................5315
200.504 (g) revised; introductory text amended......................5315
200.505 (c) amended.................................................5315
200.508 (a) amended.................................................5315
200.510 (a) amended.................................................5315
200.511 (a) amended.................................................5315
200.800 (b) table amended (OMB numbers).............................9769
202.3a Effectiveness extended to 11-1-86............................4160
Added; eff. to 9-1-87..........................................40791
210 Authority citation revised......................................3770
210.3-05 (b)(1) introductory text amended..........................42056
210.3A-02 Revised..................................................17330
210.4-08 (m) added..................................................3770
211 Interpretative releases.........................................739,
17331, 25194, 33886, 36007, 39652, 41080, 43594, 44446, 45314
229.202 (b)(9) revised.............................................42056
229.304 Revised....................................................42056
229.403 (a) amended................................................42056
229.601 Table revised..............................................42057
Table corrected................................................45576
230 Authority citation amended...............................2475, 20262
230.151 Added......................................................20262
230.157 (a) amended................................................25362
230.251--230.264 (Regulation A) Authority citation revised.........12842
230.255 (c) revised................................................12842
230.457 (b) through (m) redesignated as (c) through (n); new
(f)(3) and (g)(3) amended; new (b) added; new (c), (f)(1),
and (h) revised.............................................2475
230.503 Revised....................................................36386
231 Interpretative releases.................................34462, 43594
239 Authority citation revised.....................................11908
239.11 Form S-1 amended............................................42057
239.12 Form S-2 amended............................................42057
239.18 Form S-11 amended...........................................42057
239.23 Form N-14 amended...........................................42057
239.25 Form S-4 amended............................................42058
239.28 Form S-18 amended....................................12843, 42058
239.34 Form F-4 amended............................................42058
239.64 Heading, introductory text, and Form SE revised.............11908

[[Page 3]]

239.500 Form D revised.............................................36387
240 Authority citation amended.....................................2475,
3034, 5707, 8801, 12127, 14982, 18580, 25882, 36551, 44275
240.0-9 Revised.....................................................2476
240.0-10 (a) amended...............................................25362
240.0-11 Added......................................................2476
240.3a12-8 (a)(1)(i) and (ii) amended; (a)(1)(iii) added...........25998
240.3a12-9 Added; eff. 4-14-86......................................8801
240.9b-1 (c)(4), (6), (7), and (8) removed; (c)(5) and (9) through
(12) redesignated as (c)(4) and (6) through (9); new
(c)(5) added...............................................14982
Technical correction...........................................17732
240.10a-1 (a)(1) introductory text, (i) and (ii) redesignated as
(a)(1)(i) introductory text, (A), and (B); new (a)(1)(ii)
added; eff. 4-21-86.........................................8804
240.12b-37 (c)(2) revised..........................................11908
240.12g-1 Amended..................................................25362
240.12g-4 (a)(1) and (2) amended...................................25362
240.12h-3 (b)(1) and (2) amended...................................25362
240.13e-1 (b) redesignated as (c); new (b) added....................2476
240.13e-3 (a)(3)(i)(C), (c)(2), (e)(1), and (f)(1)(ii) amended.....42059
240.13e-4 (a)(3), (f)(1), (2) introductory text, (i), and (ii),
and (3) introductory text revised; (f)(7) added.............3034
(f)(2)(i) and (ii) corrected....................................5515
(f)(1)(ii), (2)(i), and (7) and (g)(5) revised; (f)(2)(ii)
removed; (f)(2)(iii) and (g)(6) redesignated as (f)(2)(ii) and
(g)(7); (f)(8) through (11) and new (g)(6) added...................25882
(f)(9) introductory text and (10) introductory text corrected
32630
240.13e-100 Schedule 13E-3 amended..................................2477
(a) amended....................................................42059
240.13e-101 Schedule 13E-4 amended..................................2477
240.14a-1 Revised...........................................42059, 44275
240.14a-2 Heading, introductory text, (a) introductory text, (4),
and (6) and (b) introductory text, (1), and (b)(2)(ii)
revised....................................................42059
240.14a-3 (b) introductory text, (4), (6) through (10), (10) Note,
(11) Note, and (13) and (c) and Note, (d) and (e) revised;
(b)(7) Note removed; (b)(1) Note 1 amended.................42059
(e)(2) revised.................................................44275
(b)(10) corrected..............................................45576
240.14a-4 (a) and (b)(2)(iii) and (iv) amended; (c)(4) and (d)
revised....................................................42060
240.14a-5 (c) revised; (d) amended; (e) removed; (f) redesignated
as (e) and amended.........................................42061
240.14a-6 (i) revised...............................................2477
Heading, (a)(1), (b), (c), and (d) revised; (a) Note
designated as (a) Note 2 and amended; (c) Note removed; (e)
through (j) redesignated as (f) through (k); new (f), (h), (j),
and (k) revised; (a) Note 1, new (e), (g) heading, (i) heading,
and (l) added......................................................42061
240.14a-7 Introductory text revised; (a) through (c) and (b)(2)
amended....................................................42062
240.14a-8 (a)(1)(i) and (3)(i), (c)(3), and (d) revised; (a)
introductory text, (1)(ii), (2), (3) introductory text and
(ii) Note, and (4), (b)(1) and (2), (c) introductory text,
(1), (1) Note, (2), (4) through (7), (9) through (12), (e)
and flush paragraph following (e) amended..................42062
240.14a-11 (b)(1), (2), and (6) and (c)(1) through (3) amended.....42062
240.14a-13 (a) introductory text, (1), and (2) revised.............42062
Revised; eff. to 6-30-87.......................................44275
Revised; eff. 7-1-87...........................................44276
240.14a-101 Revised................................................42063
Corrected......................................................45576
240.14a-102 Amended................................................42070
240.14b-1 Introductory text, (a), (c), and (d)(1) revised; (c)
note designated as note 1 and revised; (c) note 2 added....44277
240.14b-2 Added; eff. in part 7-1-87...............................44278
240.14c-1 (a) amended; (c) removed; (d) and (e) redesignated as
(c) and (d); new (c) revised; new (e) and (f) added........42070
Revised........................................................44279

[[Page 4]]

240.14c-2 Revised..................................................42070
240.14c-3 (a) introductory text, (1), and (2) revised; (a)(3)
through (12) and (7) Note and (10) Note removed; (b) and
(b) Note amended...........................................42071
240.14c-4 (b) and (c) amended......................................42071
240.14c-5 Heading revised; (f) added................................2477
Revised........................................................42071
240.14c-7 Introductory text and (a) revised........................42071
Revised; eff. to 6-30-87.......................................44280
Revised; eff. 7-1-87...........................................44280
240.14c-101 Revised................................................42072
240.14d-7 (a) revised; (b) and (c) removed; (d) redesignated as
(b)........................................................25882
(a) corrected..................................................32630
240.14d-10 Added...................................................25882
240.14d-100 Schedule 14D-1 amended..................................2477
240.14e-1 (a) and (b) revised.......................................3035
240.14e-1 (b) revised..............................................25883
(b) introductory text and proviso corrected....................32630
240.14f-1 Amended..................................................42072
240.15c3-1 (c)(2)(vi)(F) revised...................................41298
240.17Ac2-1 (c) revised............................................12127
240.17Ac2-2 Added..................................................12127
240.17Ad-1 (a) revised.............................................36551
Technical correction...........................................40792
240.17Ad-5 (e) redesignated as (g)(1) and revised; new (e), (f),
and (g)(2) added............................................5707
240.17Ad-10 (c)(1) and (g) revised..................................5708
240.31-1 (f) added.................................................18580
241 Interpretative releases..........................16004, 33242, 43594
249 Authority citation revised.....................................11908
249.210 Form 10 amended............................................42072
249.310 Form 10-K amended..........................................42072
249.323 (a) amended................................................25362
249.444 Heading, introductory text, and Form SE revised............11908
249b Authority citation amended....................................12127
249b.100 Footnote 1 amended; Form TA-1 revised.....................12127
249b.102 Added; Form TA-2 added....................................12134
249b.200 Heading amended; Footnote 2 redesignated as footnote 1
and revised................................................12134
250 Authority citation amended......................................9003
250.50 (b) redesignated as (b)(1); (b)(2) added; authority
citation removed; eff. 4-16-86..............................9004
250.70 Revised; eff. 4-16-86........................................9003
259.603 Heading, introductory text, and Form SE revised............11908
260.0-7 Amended....................................................25362
261 Interpretative releases........................................34462
269.7 Heading, introductory text, and Form SE revised..............11908
270 Authority citation amended......................................9778
270.2a-7 (a)(2)(v) and (vi) redesignated as (a)(2)(vi) and (vii);
(a)(1), (2)(i), (ii), and (vi), and (3)(i) amended;
(a)(2)(iv), (3)(iii), and (b) revised; new (a)(2)(v),
(3)(iv), (c), and Note added; authority citation removed;
eff. 4-21-86................................................9778
270.2a41-1 Added; eff. 4-21-86......................................9779
270.12d3-1 (d)(8)(iii) and (iv) revised; (d)(8)(v) added;
authority citation removed; eff. 4-21-86....................9779
270.20a-3 (a) revised..............................................42072
270.31a-2 (f)(1) revised; (f)(2) redesignated as (f)(3); new
(f)(2) added...............................................42209
274.403 Heading, introductory text, and Form SE revised............11908
275 Authority citation revised.....................................32907
275.202(a)(1)-1 Added..............................................32907
275.204-1 (b)(2) correctly designated...............................5515

1987

17 CFR
52 FR
Page
Chapter I
1 Occupational list categories revised..............................2920
Occupational list categories republished........................6139
Interpretation..........................................27195, 34633
Authority citation revised.....................................46072
1.3 (rr) and (ss) added............................................28994
(z)(2)(iii) revised; (z)(2)(iv) added..........................38922
1.10 (d) (1) and (2) and (g)(2) revised............................28994
1.12 (f)(3) added..................................................28248
(b)(2) revised.................................................28995
1.16 (a)(4) revised................................................28995

[[Page 5]]

1.17 (c)(2)(i) revised.............................................28250
(a)(1)(i)(B), (b)(2), (c)(5)(iii), (e)(1), (h)(2)(vi)(C),
(vii) (A) and (B), (viii)(A), (3) (ii) and (v) revised.............28995
1.19 Revised.......................................................28997
1.33 (a) and (b) introductory text revised.........................28997
1.41b (a)(3) removed; (a) (1) and (2) reviseded......................779
1.42 (a) revised...................................................18910
1.59 Heading revised; (c) added....................................48977
1 Appendix B amended...............................................46072
Technical correction...........................................47705
3.16 (a)(3) revised................................................41984
4.6 Added..........................................................41984
4.12 Revised.......................................................41984
4.14 (a)(8) added..................................................41985
(a)(8)(i)(B) and (iii)(B) corrected............................43827
4.21 (a)(17)(i) introductory text and (g) revised..................41985
4.22 (c) amended...................................................41986
4.31 (f) revised...................................................41986
5 Appendix C added..................................................1446
5 Appendix B amended...............................................22635
9 Revised..........................................................25366
9.2 (k) corrected..................................................27286
9.12 (b) corrected.................................................27286
9.20 (b)(7) corrected..............................................27286
9.24 (b) corrected.................................................27286
11 Appendix A added................................................19501
15.00 (b)(1) (i) and (ii) revised..................................38922
15.02 Revised......................................................38922
15.03 (a) revised..................................................18910
(a) designation and (b) removed................................38922
16 Occupational list categories revised.............................2920
Occupational list categories republished........................6139
16.00 (a)(3) removed...............................................18910
19 Authority citation revised......................................38922
19.00 (a) and (b) introductory text revised........................38922
19.01 Heading and introductory text revised........................38923
19.02 Introductory text revised....................................38923
19.03--19.04 Removed...............................................38923
19.10 (a) and (b) revised..........................................38923
30 Revised.........................................................28998
Effective date deferred........................................48811
31 Appendixes A and B amended......................................22635
32.1 (a) revised...................................................29003
32.11 (b) revised..................................................29003
33.4 (a)(6) removed..................................................779
33.5 (c) removed.....................................................779
33.11 Added........................................................29508
140.93 (a)(1) revised; (a)(6) added................................41986
140.735-4 (b) (1) and (2) revised..................................20592
(b)(1)(iii)(B) corrected.......................................22415
145 Authority citation revised.....................................19307
145.7 (e) through (i) redesignated as (f) through (j); new (e)
added......................................................19307
145 Appendix B revised; Appendix B authority citation removed......19308
150 Revised........................................................38923
166 Authority citation revised.....................................29003
166.1 (b) (1) and (2) revised......................................29003
166.2 (b) revised..................................................29003
Chapter II
200.1--200.30-15 (Subpart A) Authority citation amended.............2677
200.11 (b) amended..................................................2677
200.19b Revised....................................................12148
200.30-3 (a)(6) revised............................................19856
200.30-4 (a)(7) revised............................................12148
200.30-5 (a)(8) added...............................................2401
(a)(8) revised.................................................18690
200.80--200.83 (Subpart D) Authority citation amended...............2677
Authority citation revised; section authority citations
removed............................................................24146
200.80 (c)(1)(iii) amended..........................................2677
(a)(1)(iv), (2) introductory text, and (3), (b) introductory
text, (d)(5), (7)(i), and (8) introductory text, and (e)(5)
amended; (b)(7)(i), (c)(1) introductory text, (d) (1), (2), (4),
and (6)(ii), and (e) (1), (2), (4), and (7) introductory text
revised; (e) (8) through (14) added; (f) removed; interim..........24146
Confirmed......................................................48193
200.80b (a) removed; (b) amended and designation removed; interim
24148
Confirmed......................................................48193
200.80c Heading and (a) amended; (b) revised; interim..............24148
Confirmed......................................................48193
200.80d Revised....................................................24148
Confirmed......................................................48193
200.80e Revised....................................................24148
Confirmed......................................................48193

[[Page 6]]

200.301--200.312 (Subpart H) Authority citation amended.............2677
200.303 (a)(2) amended..............................................2677
200.312 (a)(17) revised; (a)(22) removed; (a) (23) through (30)
redesignated as (a) (22) through (29) and revised...........2677
201 Authority citation amended.....................................25208
201.6 (b) revised..................................................25208
202.3a Effectiveness extended to 9-1-88............................33796
203.7 (a) revised..................................................12148
210.6-07 Amended...................................................23172
211 Interpretative releases.......................................17396,
18200, 21933, 31027, 46454, 48193
229.10 (c)(1)(iii) amended.........................................21260
229.301 Instructions amended.......................................30919
229.302 (b) removed; (c) redesignated as (b) and amended...........30919
229.303 Instructions amended.......................................30919
229.304 Instructions amended.......................................21939
229.401 (f) amended................................................48982
229.501 (c)(8) revised.............................................21260
(c)(8) corrected...............................................30145
229.502 (d)(2) revised.............................................21260
(d)(2) corrected...............................................30145
229.512 (j) added..................................................21260
(h) heading and introductory text amended......................21939
(j) corrected..................................................30145
229.601 Instruction 1 (Item 601) revised...........................21260
230.423 Amended....................................................21260
230.424 (a), (b), (c), and (e) revised; (c) Note added.............21260
230.430A Added.....................................................21261
230.481 (b)(2) and (d)(2) revised..................................21262
(b)(2) corrected...............................................30146
230.482 (a)(4) added...............................................21262
230.497 (h) added..................................................21262
230.499 (c)(7) amended.............................................21262
239.13 Form S-3 amended............................................21262
Form S-3 corrected.............................................30146
239.16b Form S-8 amended...........................................21262
239.25 Form S-4 amended.....................................21262, 21938
Form S-4 corrected.............................................30146
239.33 Form F-3 amended............................................21263
Form F-3 corrected.............................................30146
239.34 Form F-4 amended.....................................21263, 21939
Form F-4 corrected.............................................30146
240 Authority citation amended.....................................3000,
8877, 9154, 16838, 27969, 42279
240.3a12-8 (a)(2) revised; eff. 4-20-87.............................8877
(a)(1)(ii) and (iii) amended; (a)(1)(iv), (v), and (vi) added
42279
240.3a43-1 Added...................................................27969
240.3a44-1 Added...................................................27970
240.10a-1 (a)(1)(ii) revised.......................................24152
240.10b-6 (a) introductory text, (1), and (2) and (c)(6) revised;
(a)(3) introductory text and authority citation removed;
(a)(3)(i) through (xiii) redesignated as (a)(4)(i) through
(xiii); new (a)(3) and (4) introductory text added; new
(a)(4)(v), (vii), (xi), and (xii) revised...................3000
240.11Aa2-1 Revised................................................24153
240.11Aa3-1 (a)(4), (5), and (6) and (b)(1) revised; (b)(2)(i)
through (vii) redesignated as (b)(2)(ii) through (viii);
new (b)(2)(ii) revised; new (b)(2)(i) added................24153
240.11Ac1-1 (a)(16) revised; (a)(19) removed; (a)(20) and (21)
redesignated as (a)(19) and (20)...........................24153
240.13f-2(T) Added; eff. 7-1-87 (temporary).........................9154
240.14a-1 (b) through (j) redesignated as (c) through (k); new (b)
added......................................................23648
240.14a-2 Heading, introductory text, (a) introductory text and
(b) introductory text amended..............................21936
240.14a-3 (c) amended..............................................48982
240.14a-6 (j) introductory text revised............................21936
(a) designated as (a) introductory text and amended; (a)(1)
through (5), flush text, and Notes 3 and 4 and (c) Note added; (a)
Note 2 and (j) introductory text amended; (j)(1), (2), and (3)
redesignated as (j)(2), (3), and (4) and revised; new (j)(1) added
48982
240.14a-8 (c)(1) amended...........................................21936
(a)(1)(ii) removed; (a)(1)(i) redesignated as (a)(1)
introductory text and amended; new (a)(1)(i) and (ii) added; (d)
introductory text and (e) revised..................................48983
240.14a-11 (b)(5) amended..........................................21936
240.14a-13 (a)(1)(ii)(A) corrected..................................2220

[[Page 7]]

(a)(1)(i)(B), (ii)(A), (2) and Note 1, and (b)(3) revised;
(a)(1)(i)(D) and (d) added.........................................23648
240.14a-14 Added...................................................21936
240.14a-101 Amended..................................21263, 21937, 48984
Corrected......................................................30146
240.14b-1 (a) introductory text corrected...........................2220
(a) introductory text revised..................................23649
240.14b-2 Note and (h) introductory text corrected..................2220
(a)(1), (b) introductory text, (e)(1), (h) introductory text
and (i) Note 2 revised; (c)(1)(i)(b) correctly designated as
(c)(1)(i)(B); (j) added............................................23649
240.14c-1 (b) through (i) redesignated as (c) through (j); new (b)
added......................................................23649
240.14c-3 (b) amended..............................................48984
240.14c-5 (a) designated as (a) introductory text and amended;
(a)(1), (2), (3), and Notes 3 and 4 and (b) Note added;
(g) revised................................................48984
240.14c-7 (a)(2) and (b)(1) corrected...............................2220
(a)(1)(i)(A) and Note 1, (b)(3), and (c) revised; (a)(1)(i)(C)
and (d) added......................................................23649
240.14c-101 Amended................................................48984
240.15b1-3 (b) revised.............................................16838
240.15b2-2 (a) and (b) revised.....................................16838
240.15c2-2 Removed.................................................39217
240.15c3-1 (a)(9) and (c)(2)(iv)(H) added; (c)(2)(iv)(F)(1), (2),
and (3) revised............................................22298
240.15c3-3 (b)(4) added............................................30333
240.15c3-3a Table amended..........................................30334
240.15Ca1-1--240.15Cc1-1 Undesignated center heading added.........16839
240.15Ca1-1 Added..................................................16839
240.15Ca2-1 Added..................................................16839
240.15Ca2-2 Added..................................................16839
240.15Ca2-3 Added..................................................16840
240.15Ca2-4 Added..................................................16840
240.15Ca2-5 Added..................................................16840
240.15Cc1-1 Added..................................................16841
240.17a-3 (a)(4)(v) and (vi), (5) and (8) revised; (a)(4)(vii)
added......................................................22299
240.17a-13 (b)(1), (2), and (3) revised............................22299
240.31-1 (f) revised...............................................24153
241 Interpretative releases........................................11458
249 Authority citation amended......................................9154
249.220f Form 20-F amended.........................................30919
249.326(T) Added; eff. 7-1-87 (temporary)...........................9155
249.501 Form BD amended............................................16841
249.501a Form BDW revised..........................................15492
Revised........................................................16844
250.45 (b)(6) added................................................48986
270 Authority citation amended..............................42284, 42428
270.20a-1 (c) revised..............................................48985
270.6c-9 Added.....................................................42284
270.6e-3(T) Revised................................................11208
270.19b-1 (a) and (c)(1)(iii) revised; (f) added...................42428
274 Authority citation amended.....................................42284
274.101 Form N-SAR amended.........................................46351
274.304 Added......................................................42284
275.206(4)-4 Added.................................................36918
276 Interpretative releases........................................38400
279.1 Form ADV amended.............................................36918
Chapter IV
Chapter IV Established.............................................19682
Revised........................................................27926
400--449 (Subchapter A) Added......................................19682
Revised........................................................27926
400 Added..........................................................19682
Revised........................................................27926
401 Added..........................................................19685
Revised........................................................27930
402 Added..........................................................19687
Revised........................................................27931
402.2a Schedules B and C correctly revised.........................23141
403 Added..........................................................19702
Revised........................................................27947
404 Added..........................................................19706
Revised........................................................27952
405 Added..........................................................19708
Revised........................................................27954
449 Added..........................................................19710
Revised........................................................27956
450 (Subchapter B and Part) Added..................................19711
Revised........................................................27957

[[Page 8]]

1988

17 CFR
53 FR
Page
Chapter I
1.10 (d)(1) (iii) through (vi) redesignated as (d)(1) (iv) through
(vii); (a)(1) and new (d)(1)(iii) and (k) added; new
(d)(1)(v), (2) (ii) and (iv) and (g) (1) and (2) revised
4611
(d) (1) and (2) correctly revised...............................7179
1.12 (a)(2) revised.................................................4612
1.16 (d)(1) and (2)(iv), (f)(1)(iv) and (vii)(C) revised............4612
1.46 (d)(6) and (e) added............................................614
1.52 (a) revised....................................................4612
1.59 Technical correction............................................615
1 Appendix B fee schedule; eff. 6-6-88..............................7179
3.2 (d) removed; (e) redesignated as (d); (a) and new (d) revised;
eff. 4-4-88.................................................8431
3.10 (b) revised; (d) added; eff. 4-4-88............................8431
3.12 (c)(1)(ii), (d) heading, (1) introductory text and (iii), (2)
and (3) revised; (d)(1)(vi), (4) and (5) added; eff. 4-4-
88..........................................................8431
3.12a-(T) Removed; eff. 4-4-88......................................8431
3.13 (b) revised; (c) added; eff. 4-4-88............................8431
3.14 (b) revised; (c) added; eff. 4-4-88............................8432
3.15 (b) revised; (c) added; eff. 4-4-88............................8432
3.16 (c)(1)(ii), (d) heading, (1) introductory text, and (iii),
(2) and (3) revised; (d)(1)(vi) and (4) added; eff. 4-4-88
8432
3.17 (b) revised; (c) added; eff. 4-4-88............................8432
3.18 (c)(1)(ii), (d) heading, (1) introductory text and (iii), (2)
and (3) revised; (d)(1)(vi), (4) and (5) added; eff. 4-4-
88..........................................................8432
3.22 (a) and (b) revised; eff. 4-4-88...............................8433
3.31 (a) and (c)(1) introductory text revised; eff. 4-4-88..........8433
3.32 (a), (d), (e)(1), (g) and (h) revised; eff. 4-4-88.............8433
3.33 (a)(3), (b) introductory text, (e) and (f) revised; eff. 4-4-
88..........................................................8434
3.40 (d) added; eff. 4-4-88.........................................8435
3.42 (a)(2) revised; (a)(3) added; eff. 4-4-88......................8435
3.44 (a)(4)(i) and (c) revised; eff. 4-4-88.........................8435
3.46 (a)(3) revised; eff. 4-4-88....................................8435
5 Appendix B fee schedule; eff. 6-6-88..............................7179
Appendix D added...............................................30672
12 Authority citation revised......................................17692
12.406 (d) added...................................................17692
15.03 Revised......................................................50923
Order..........................................................44856
30 Interim order....................................................3338
Interim order extended.........................................11491
Appendix B added...............................................28832
Appendix B amended...............................28840, 28848, 30673
31 Appendix A fee schedule; eff. 6-6-88.............................7179
Appendix B amended.............................................22139
140.735-8 (b) revised..............................................27678
145.5 (d)(1)(i) (C) through (F) redesignated as (d)(1)(i) (E)
through (H); new (d)(1)(i) (C) and (D) added................4613
145.6 (b) (1) and (2) amended; eff. 4-4-88..........................8435
146.12 (a) and (b) amended.........................................35198
147.3 (b)(4)(i)(A) (3) through (6) redesignated as (b)(4)(i)(A)
(5) through (8); new (b)(4)(i)(A) (3) and (4) added.........4613
150.1 (d) added....................................................41571
150.3 Revised......................................................41571
Chapter II
200 Authority citation revised.....................................25882
Interpretation.................................................42944
200.1--200.30-15 (Subpart A) Authority citation revised............17458
200.30-1 (j) added.................................................12921
200.30-3 (a)(6) revised............................................30839
(a)(47) added..................................................51538
200.30-14 (f) added; authority citation removed....................17458
200.81 Heading and (a) revised; (b) text and Note and (c) amended
12413
(a) revised....................................................32605
200.601--200.670 (Subpart L) Added..........................25882, 25885
200.670 (c) revised................................................25882
200.735-3 (b)(7)(ii) revised; (b)(7)(iii) amended..................17458
200.735-5 Revised..................................................18553
200.800 (b) table amended (OMB numbers).............................9764
201.1--201.29 (Subpart A) Authority citation added.................28191

[[Page 9]]

201.2 (e)(7) revised...............................................26434
201.23 (e) added...................................................28191
202.3a Effectiveness extended to 9-1-90............................32891
211 Interpretative releases.......109, 110, 865, 1341, 7892,29226,33454,
34715, 47801
229.304 Revised....................................................12929
230.100--230.215 Authority citation revised........................17459
230.122 Amended....................................................17459
230.144 (a)(3) revised.............................................12921
230.174 (d) and (e) redesignated as (e) and (f); new (d) added.....11845
230.215 (e) removed; (f) and (g) redesignated as (e) and (f); new
(g) added; (a), (c), new (f), and (h) revised; eff. 4-11-
88..........................................................7868
230.420 Revised; eff. 5-1-88........................................3878
230.424 (a) revised; (f) added; eff. 5-1-88.........................3878
230.482 (a) introductory text and (1), (c) Note and (d) revised;
(a)(3) Note, (5), (6) and Note and (e) through (f) added;
eff. 5-1-88.................................................3879
(e)(1)(i) and (ii) eff. date deferred to 7-1-88................15022
Technical correction............................................9768
230.497 Heading, (a) and (g) revised; (i) added; eff. 5-1-88........3880
230.499 (c)(7) revised; eff. 5-1-88.................................3880
230.501 (a)(5) removed; (a)(6) and (7) redesignated as (a)(5) and
(6); (a)(1), (3), new (6) and (8) revised; new (a)(7) and
(e)(3) added; (c) amended; eff. 4-11-88.....................7868
230.502 (b)(2)(i)(A), (B), and (C) redesignated as (b)(2)(i)(B),
(C), and (D); new (b)(2)(i)(A) added; new (b)(2)(i)(B)
heading and (C) heading, (ii)(B) and (vi) revised;
(b)(2)(i)(D) amended; eff. 4-11-88..........................7869
230.504 Heading, (b), and Notes 1 and 2 revised; Note 3 added.......7869
230.701 Added......................................................12921
230.702(T) Added (temporary).......................................12922
230.703(T) Added (temporary).......................................12922
231 Interpretative releases........................................29226
239.15A Form N-1A amended; eff. 5-1-88........................3196, 3881
239.701 Added......................................................12922
Designation and Form N-1A corrected.............................5269
240 Authority citation amended.......................26394, 33459, 37289
240 Document at 53 FR 41205 classification corrected to RULES......43800
240.0-4 Amended....................................................17459
240.3a12-8 (a)(1)(v) and (vi) amended; (a)(1)(vii) through (xii)
added......................................................43863
240.7c2-1 Removed..................................................41206
240.10b-10 (a)(8)(ii) added........................................40721
240.10b-21(T) Added (temporary)....................................33460
240.12a-5 (e) amended..............................................41206
240.14a-1 (b) revised; (d) through (k) redesignated as (e) through
(l); new (d) added.........................................16405
240.14a-13 (a)(1)(ii)(A) and (B), (2), and Notes 1 and 2, (b)(3)
and (d) revised; (a)(1)(ii)(C) and Note 3 added............16405
240.14a-101 Amended................................................12931
240.14b-1 (d) redesignated as (e); new (d) added...................16405
240.14b-2 (e)(2)(i) and (f)(1) revised; (j) removed; (g) through
(i) redesignated as (h) through (j); new (g) added; new
(h) revised................................................16405
240.14c-1 (b) revised; (d) through (j) redesignated as (e) through
(k); new (d) added.........................................16406
240.14c-7 (a)(1)(ii)(A) and (B), (2), and Note 3, (b)(3) and (d)
revised; new (a)(1)(ii)(C) and Note 4 added................16406
240.15a-3 Removed..................................................41206
240.15b2-2 (f) added; eff. to 1-31-89...............................4121
240.15b7-1 Removed.................................................41206
240.15c2-3 Removed.................................................41206
240.15c2-8 (d) amended.............................................11845
240.15Al2-1 Removed................................................41206
240.17a-3 (a)(9)(i) and (ii) amended...............................16406
240.17f-1 (a) through (f) revised..................................37289
Revision corrected.............................................40721
240.19a3-1 Removed.................................................41206
240.19b-3 Removed..................................................41206
240.19c-4 Added....................................................26394
Technical correction...........................................26992
240.31-1 (f) amended...............................................17182
241 Interpretative releases........................................29226
249.308 Form 8-K amended...........................................12931
249.501 Form BD amended; eff. 4-27-88...............................2485

[[Page 10]]

249.501 Form BD amended............................................23385
250.104 (c) amended; flush text designated as (d) and revised......17459
260.0-6 Amended....................................................17459
270.24b-3 Added; eff. 5-1-88........................................3880
270.31a-2 (a)(2) amended; (a)(3) added; eff. 5-1-88.................3880
270.34b-1 Added; eff. 5-1-88........................................3880
270.34b-1 (b) and (c) eff. date deferred to 7-1-88.................15022
271 Interpretative releases........................................29226
274.11A Form N-1A amended; eff. 5-1-88........................3196, 3881
Form N-1A corrected.............................................5269
274.11A Form N-1A eff. date deferred in part to 7-1-88.............15022
274.11b Form N-3 amended; eff. 5-1-88...............................3883
274.11b Form N-3 eff. date deferred in part to 7-1-88..............15022
274.11c Form N-4 amended; eff. 5-1-88...............................3885
274.11c Form N-4 eff. date deferred in part to 7-1-88..............15022
275 Authority citation amended.....................................32034
275.204-2 (a)(11) and (e)(1) revised; (a)(16) and (e)(3) added.....32035
300.500--300.503 Undesignated center heading added.................10369
300.500 Added......................................................10369
300.501 Added......................................................10369
300.502 Added......................................................10370
300.503 Added......................................................10370
400.2 (c)(1), (3)(iv), and (7) revised; (c)(3)(v) redesignated as
(c)(3)(vi); new (c)(3)(v) added............................28984
402.2 (e)(1)(vi), (vii), and (viii) redesignated as (e)(1)(vii),
(viii), and (ix) and revised; new (e)(1)(vi) added;
(g)(1)(iv) revised.........................................28984
402.2a (a)(1)(iii)(B) and (C), (iv)(B) and (C), (3)(i)(A)
introductory text and (1), (ii)(A) introductory text and
(1) revised; (a)(1)(iii)(D) and (iv)(D) added; (c) amended
28985
403.1 Revised......................................................28986
403.4 (e) revised..................................................28986
403.5 (d)(1) introductory text revised; (e)(5) and (6) added;
(f)(3) removed; OMB number.................................28986
403.7 (b), (d)(1) introductory text and (2) introductory text, and
(e) revised; (c) amended...................................28986
404.4 (a)(2) and (3)(i)(A) revised.................................28987
450.1 (b) amended..................................................28987

1989

17 CFR
54 FR
Page
Chapter I
1 Authority citation revised.......................................41077
1.3 (ff) revised...................................................41077
1.35 (a-2) added...................................................33881
1 Appendix B fee schedule..........................................22426
3 Authority citation revised.......................................19557
3.2 (c) revised....................................................19558
3.3 (a) revised....................................................19558
3.17 (a) and (c) revised...........................................19558
3.18 (c) (3), (4), (d) (1), (3), (4), and (5) revised..............19558
3.20 (d)(2) removed................................................19558
3.21 (a) introductory text republished; (a)(1) revised.............19558
3.31 (c)(1) introductory text and (2) revised......................19558
3.32 (b), (c), (d) (2), (3), (e), (f), and (h) revised.............19559
3.33 (a) introductory text, (b) introductory text, (e), and (f)
introductory text revised..................................41078
(e) corrected..................................................46503
3.40 Introductory text and (b) revised.............................19559
3.43 (b)(1) revised................................................19559
4 Interpretation....................................................5597
Interpretation; comment time extended..........................15748
5 Appendix B fee schedule..........................................22426
30 Appendix B amended..............................................37644
Table amended...........................................50356, 50363
30 Appendix C added..................................................809
Amended...................................21604, 21609, 21614, 21618
Amended; eff. 4-17-89..........................................11182
31.1 Removed.......................................................41078
31.2 Removed.......................................................41078
31.4 (g) revised...................................................41078
31.5 (a) introductory text and (b) revised; (c), (d), (e) and (g)
removed; new (c) added; (f) redesignated as (d)............41078
31.6 (a) (1), (4), (5) and (b)(1) revised; (a)(6) added............41079
31.7 (c) revised...................................................41079

[[Page 11]]

31.8 (a)(2)(ii), (b) and (e) revised; (a)(2)(iii) (A) and (B)
redesignated as (a)(2)(v) (A) and (B); (a)(2) (iii) and
(iv) added.................................................41079
31.9 (a) (2), (4) and (d) revised..................................41079
31.11 (a)(1) amended; (a)(2) (ii), (viii), (e), (h), (k)(1)
introductory text and (i), (ii) introductory text, (2)
introductory text, (i), and (ii) introductory text
revised; (m) added.........................................41080
(a)(1) and (e)(2) corrected....................................46503
31.12 (h) added....................................................41081
(h) corrected..................................................46503
31.13 (a) introductory text, (b)(2) and (c) revised; (f) (3) and
(4) redesignated as (f)(4) and (5); new (f)(3) added;
(g)(2), (j), (k), (l)(1) introductory text, (1)(vii), (2),
(3), and (m) revised.......................................41081
31.16 Revised......................................................41082
31.21 Revised......................................................41082
31.22 Revised......................................................41082
31.24 Removed......................................................41082
31.25 (b) revised..................................................41082
31.26 Introductory text revised; (a) designation and (b) removed;
(a) (1) through (12) redesignated as (a) through (l).......41083
31.27 Added........................................................41083
31.28 Added........................................................41083
31.29 Added........................................................41084
Corrected......................................................46503
31 Appendix B fee schedule.........................................22426
Appendix B removed.............................................41084
34 Added...........................................................30692
140 Authority citation added; section authority citations removed
18099
140.2 (c) and (d) revised..........................................18099
140.735-8 (b) revised.......................................23208, 31814
142 Added..........................................................25234
145.5 (d)(1)(i)(H) revised.........................................41084
145.6 (a) revised..................................................18099
(b)(1) revised.................................................19559
(a) corrected..................................................19886
147.3 (b)(4)(i)(A)(8) revised......................................41084
180 Authority citation revised......................................1684
180.3 (b)(4) revised................................................1684
Chapter II
200 Authority citation removed.....................................18100
200.1--200.30-16 (Subpart A) Authority citation revised............18100
Authority citation amended.....................................24331
200.15 Removed.....................................................18100
200.16 Revised.....................................................18100
200.19b Revised....................................................24331
200.21 (b) redesignated as (c); (a) revised; new (b) added.........18100
(a) amended....................................................24331
Authority citation removed.....................................24332
200.30-1 (d) revised; eff. 4-19-89.................................11371
200.30-3 (a)(48) added.............................................28797
200.30-4 Introductory text and (a)(7) revised......................24331
Authority citation removed.....................................24331
200.30-8 Removed...................................................18101
200.30-10 (b) redesignated as (c); new (b) added...................53051
200.30-14 Introductory text revised; (g), (h), and (i) added.......18101
(f) revised....................................................33500
200.30-16 Added....................................................18102
200.80 (b)(7)(i) introductory text, (A), (ii) and (8) revised......24331
200.200--200.205 (Subpart G) Authority citation revised............40862
200.203 (c) introductory text amended; (c)(1)(i) through (vi)
revised; (c)(1)(vii), (viii), and (ix) removed.............40862
200.301--200.312 (Subpart H) Authority citation revised............40862
Authority citation corrected...................................46373
200.303 (a)(2) amended.............................................40862
(a)(2) corrected...............................................50307
200.312 (a) introductory text and (1) through (8) revised; (a)(9)
through (29) removed.......................................24332
(a)(8), (10) and (18) removed; (a)(9), (11) through (17), and
(19) through (29) redesignated as (a)(8) through (a)(26) and
republished........................................................40863
(a)(8) revised.................................................46373
Corrected......................................................46373
200.402 (a)(5)(iv), (7)(i)(A), (ii), (8) and (9)(ii) revised.......24332
Authority citation removed.....................................24332
200.735-3 (b)(7)(ii) and (iii) revised; Footnote 6 unchanged.......33500
200.800 Amended; OMB numbers.......................................13057
201.31 Revised.....................................................53051
201.32 Revised.....................................................53051
201.33 (b) redesignated as (c); new (b) added......................53051
201.34 (b) revised.................................................53051
201.35 (a) revised.................................................53051

[[Page 12]]

201.36 (b) revised.................................................53051
201.37 Revised.....................................................53051
201.41 (b) revised.................................................53051
201.44 (c) removed; (b) redesignated as (c); new (b) added.........53052
201.54 Revised.....................................................53052
201.55 (a) revised.................................................53052
201.59 Revised.....................................................53052
201.61--201.68 (Subpart C) Added...................................28799
202 Authority citation revised.....................................24332
202.5 Authority citation removed; (b) revised......................24332
203.2 Revised......................................................24333
210.3-06 Added; eff. 4-12-89.......................................10315
210.3-12 (d) and (e) redesignated as (e) and (f); new (d) added;
eff. 4-12-89...............................................10316
211 Interpretative releases........................................22427
211 Staff Accounting Bulletin No. 81 added.........................14073
Staff Accounting Bulletin No. 82 added.........................29333
Staff Accounting Bulletin No. 83 added.........................32333
Staff Accounting Bulletin No. 84 added.........................32334
Staff Accounting Bulletin No. 85 added.........................39351
Staff Accounting Bulletin No. 86 added.........................41084
Staff Accounting Bulletin No. 87 added.........................51880
229.304 (a)(3) revised; eff. 4-7-89.................................9774
230.122 Amended....................................................33501
230.215 Introductory text republished; (a) revised; eff. 4-19-89
11372
230.501 Introductory text, (a)(1), (c), (e)(2) and (h)(4) revised;
(e) introductory text and (h) introductory text
republished; eff. 4-19-89..................................11372
230.502 Introductory text, (b)(1), Note, (2)(i), (D), (ii)
introductory text, (iii), (iv) and (d) introductory text
revised; new (b)(2)(vii) and (d) concluding text added;
eff. 4-19-89...............................................11372
230.503 (a) revised; eff. 4-19-89..................................11373
230.504 (b)(1) revised; new (b)(2)(ii) added; eff. 4-19-89.........11373
230.505 (b)(1) and (2)(ii) revised; eff. 4-19-89...................11373
230.506 (b)(1), (2)(i) and (ii) revised; eff. 4-19-89..............11373
230.507 Added; eff. 4-19-89........................................11374
230.508 Added; eff. 4-19-89........................................11374
231 Comment time extended..........................................17947
Interpretative releases..................................5600, 22427
239.17a Form N-3 amended; eff. 5-1-89...............................4776
239.17b Form N-4 amended; eff. 5-1-89...............................4778
239.500 Revised; eff. 4-19-89......................................11374
240 Authority citation amended.........23976, 28813, 30031, 35481, 37789
240.3a12-10 Added..................................................37789
240.12b-25 (a) and (b)(2)(ii) revised; eff. 4-12-89................10316
240.13a-10 Revised; eff. 4-12-89...................................10316
240.13a-13 (a) revised; eff. 4-12-89...............................10317
240.14a-3 (b)(1) Note redesignated as Note 1, and Note 2 added;
eff. 4-12-89...............................................10318
240.15a-6 Added....................................................30031
240.15c2-6 Added...................................................35481
240.15c-12 Added...................................................28813
240.15d-10 Revised; eff. 4-12-89...................................10318
240.15d-13 (a) revised; eff. 4-12-89...............................10319
240.19c-5 Added....................................................23976
240.31-1 (f) amended...............................................20526
241 Interpretative releases.........................................5600
241 Comment time extended..........................................17947
Interpretative releases.................................22427, 28814
249.220f Heading, (a) and (b) revised; (d) added; Form 20-F
amended; eff. 4-12-89......................................10319
249.308 Form 8-K amended; eff. 4-7-89...............................9774
Form 8-K amended; eff. 4-12-89.................................10320
Heading revised; section and Form 10-Q amended; eff. 4-12-89
10320
249.310 Heading revised; text amended; Form 10-K amended; eff. 4-
12-89......................................................10321
249.322 Section and Form 12b-25 amended; eff. 4-12-89..............10321
260.0-6 Amended....................................................33501
270.8b-16 Revised; eff. 4-12-89....................................10321
270.11a-3 Added....................................................35185
270.17f-1 (b)(4) revised...........................................32049
270.17f-2 (f) revised..............................................32049
270.30b1-2 Revised; eff. 4-12-89...................................10321
270.30b1-3 Added; eff. 4-12-89.....................................10321
270.32a-3 Added....................................................31332
271 Interpretative releases........................................22427

[[Page 13]]

274.11A Form N-1A amended; eff. 5-1-89..............................4776
274.11b Form N-3 amended; eff. 5-1-89...............................4776
274.11c Form N-4 amended; eff. 5-1-89...............................4778
274.101 Revised; Form N-SAR amended; eff. 4-12-89..................10322
274.219 Added......................................................32049
274.220 Added......................................................32049
275.206(4)-2 (a)(5) revised........................................32049
275.206(4)-3 (a)(1)(iii) note corrected............................32441
279.8 Added........................................................32049

1990

17 CFR
55 FR
Page
Chapter I
1 Interpretative rule..............................................17932
Fee schedule...................................................19725
1.35 (a), (a-1)(2), (4), and (d) revised; (j) through (l) added.....8137
(a), (a-1)(2) and (4), (d)(1) through (3), (5), (7) and (8),
and (j)(1) through (4), (7), (8), (k), and (l) eff. 5-7-90..........8127
(d)(4) and (6) and (j)(5) and (6) eff. 6-5-90...................8127
1.63 Added; eff. 4-5-90.............................................7890
3 Interpretation....................................................3205
3.3 Removed........................................................32242
3.80--3.91 (Subpart F) Removed.....................................41067
Correctly removed..............................................49029
4 Interpretation....................................................3205
5 Appendix B fee schedule...........................................4993
30 Order...........................................................14238
Technical correction...........................................25925
30 Appendix B amended; eff. 4-4-90..................................7706
Amended..........................................23909, 26429, 28373
30 Appendix C amended.......................................10614, 23909
31 Appendix A fee schedule..........................................4993
140.96 (b) and (c) redesignated as (c) and (d); new (b) added......35897
141 Added...........................................................5207
171 Added..........................................................41068
Chapter II
200.1--200.30-16 (Subpart A) Authority citation revised............11168
200.30-1 (g) and (h) removed; (i) and (j) redesignated as (g) and
(h)........................................................11168
(i) added......................................................17943
(j) added......................................................18322
Technical correction...........................................20894
200.30-3 (a)(49) added.............................................19062
(a)(38) revised................................................45603
200.30-11 (e) added................................................11168
200.80 (c)(1) introductory text, (e)(7)(i) and (ii) revised;
(c)(1)(iii) amended........................................41188
200.80e Amended....................................................41189
200.301--200.312 (Subpart H) Authority citation revised............19872
200.313 Added......................................................19872
200.400--200.410 (Subpart I) Authority citation revised............10235
200.410 (d) added..................................................10235
202.3a Effective date extended to 9-1-92...........................34011
211 Staff Accounting Bulletin No. 88 added.........................33284
229 Authority citation revised.....................................23922
229.512 (f) and authority citation removed; (g), (h), (i), and (j)
redesignated as (f), (g), (h) and (i); new (h)
introductory text revised..................................23922
229.601 Authority citation revised; (b)(5) note added..............23922
230 Authority citation amended..............................17943, 18322
Authority citation revised.....................................23922
230.144 (d)(3) removed; (d)(4) redesignated as (d)(3); (a)(3),
(c)(2), (d)(1), (2), new (3)(iv) through (vii), and note,
and (k) revised; new (d)(3)(viii) added....................17944
Technical correction...........................................20894
230.144A Added.....................................................17945
Technical correction...........................................20894
230.145 (d) revised................................................17944
Technical correction...........................................20894
230.402 Authority citation removed; (c) added......................23922
230.405 Amended....................................................23923
230.416 Authority citation removed.................................23922
Heading revised; (c) added.....................................23923
230.424 Authority citation removed.................................23922
(b) amended....................................................23923
230.428 Added......................................................23923
230.457 Authority citation removed.................................23922
(h) revised....................................................23924
230.462 Added......................................................23924

[[Page 14]]

230.472 Authority citation removed.................................23922
(d) added......................................................23924
230.475a Heading revised; introductory text amended................23924
230.501--230.508 (Regulation D) Preliminary Note 7 revised.........18322
230.502 (a) Note revised...........................................18322
230.901--230.904 (Regulation S) Added..............................18322
239.13 Form S-3 amended............................................23925
239.16b Revised....................................................23925
Form S-8 revised...............................................23925
239.33 Form F-3 amended............................................23924
239.144 Amended....................................................40162
240 Authority citation amended.....................................23929
Authority citation amended.....................................50320
240.10b-4 Redesignated as 240.14e-4; heading, (a)(1), (5), (b)
introductory text, (1) and (c) revised; (b)(3), (d) and
authority citation removed.................................50320
240.14e-4 Redesignated from 240.10b-4; heading, (a)(1), (5), (b)
introductory text, (1) and (c) revised; (b)(3), (d) and
authority citation removed.................................50320
240.15d-21 (a)(1) amended; (a)(2) and (b) revised; (a)(3) removed
23929
Technical correction...........................................27933
241 Interpretative rules...........................................17949
249.311 Text and Form 11-K amended.................................23929
250 Authority citation amended.....................................11366
250.52 Added.......................................................11366
270 Authority citation revised......................................7710
270.11a-3 Technical Correction......................................1641
270.12d1-1 Added; eff. 4-4-90.......................................7710
271 Interpretive rules.............................................34551
274.220 Appendixes A and B corrected.................................959
279.8 Appendix corrected.............................................959
Chapter IV
400.3 (b) revised...................................................6604
401.9 Added........................................................27462
(n) corrected..................................................29293
403.5 (d)(1)(iii) revised...........................................6604
449.1 Nomenclature change...........................................6604
449.2 Nomenclature change...........................................6604
449.3 Nomenclature change...........................................6604
449.4 Nomenclature change...........................................6604
450.2 (a)(1) removed; (a)(2) and (3) redesignated as (a)(1) and
(2).........................................................6604

1991

17 CFR
56 FR
Page
Chapter I
1 Fee schedule.....................................................12444
1.39 (b) redesignated as (c) and revised; new (b) added; eff. 4-
24-91......................................................12344
1.41 (l)(1)(i), (ii) and (iii) revised; (l)(1)(iv) removed.........42685
1.46 (d)(7) added..................................................14314
4 Advisory..........................................................8109
4.21 (a)(4) introductory text, (ii)(F) and (5) introductory text
revised....................................................28056
4.31 (a)(3) introductory text revised..............................28056
5 Fee schedule.....................................................12444
5.4 Removed........................................................43697
15.00 Heading and (b)(2) revised...................................43697
15.01 Introductory text and (d) revised............................14194
15.03 Revised......................................................14194
16.04 Removed......................................................14194
19 Heading revised.................................................14194
19.00 (a)(2) and (b) introductory text revised.....................14194
19.02 Revised......................................................14194
19.10 Introductory text revised....................................14194
30 Authority citation revised.......................................3208
Appendix B amended....................3208, 6262, 8113, 51650, 66346
Appendix C amended......................................14019, 66345
31 Fee schedule....................................................12444
33.4 (a)(5)(iii), (b)(1)(iv), (d)(1) and (g) revised; (b)(2) added
43697
150.1 (d) redesignated as (e) and revised; new (d) added...........14315
150.3 (a)(4), (b) introductory text, (1) and (3)(i) through (iii)
revised....................................................14315
Chapter II
200 Implementation.................................................22824
200.1--200.30-16 (Subpart A) Authority citation revised.....22319, 30052
200.30-1 (e)(5) through (8) added..................................22319
(f)(14) added; authority citation removed......................30053
200.30-3 (a)(50) added.............................................27194

[[Page 15]]

(a)(35) revised; authority citation removed....................30053
200.30-5 (a)(9) added..............................................12446
201 Authority citation revised.....................................30053
201.24 Introductory text amended; authority citation removed.......30053
210 Authority citation revised..............................30053, 57247
210.3-01 (h) revised; authority citation removed...................30053
210.3-02 (d) revised; authority citation removed...................30053
210.3-12 (f) revised; authority citation removed...................30053
210.3-19 (a) revised; authority citation removed...................30053
210.11-01 (a)(6) and (7) redesignated as (a)(7) and (8); new
(a)(6) added...............................................57247
211 Staff Accounting Bulletin No. 89 added...........................951
Staff Accounting Bulletin No. 90 added..........................4939
Staff Accounting Bulletin No. 91 added.........................33376
Interpretive releases..........................................37000
229 Authority citation revised...............................7265, 22319
229.302 (a)(5) introductory text revised; authority citation
removed....................................................30053
229.402 General Instruction 1 revised..............................30053
229.404 Authority citation removed.................................30053
Instruction 3 revised..........................................30054
229.405 Added; eff. 5-1-91..........................................7265
229.510 Amended....................................................48103
229.512 (j) added..................................................22319
229.601 (b)(10)(iii)(B)(5) revised.................................30054
229.901--229.915 (Subpart 229.900) Added...........................57247
230 Authority citation revised.....................................30054
Authority citation redesignated from 230.100--230.215
authority citation.................................................56299
230.100--230.215 Authority citation redesignated as part 230
authority citation.........................................56299
230.158 (a) and (b) revised; authority citation removed............30054
230.175 (b)(1)(i) revised; authority citation removed..............30054
230.424 (b)(3) revised; (b)(6) added...............................30054
230.430A (a)(2) revised............................................48103
230.467 Added......................................................30054
230.473 Authority citation removed.................................30054
(d) revised....................................................30055
230.480-230.489 Note revised.......................................56299
230.482 (a)(6) amended; (a)(7) added; (d) revised; eff. 6-1-91......8124
230.489 Added......................................................56299
230.502 Authority citation removed.................................30054
(b)(2)(i)(D) and (ii)(D) revised...............................30055
231 Interpretive releases...................................28986, 37000
239 Authority citation revised.....................................30055
239.12 (e) revised; Form S-2 amended...............................30055
239.13 (a) (5) revised; Forms S-3 and S-4 amended..................30055
Forms S-8 and S-11 amended.....................................30056
239.15A Form N-1A amended; eff. 6-1-91..............................8129
239.17a Form N-3 amended; eff. 6-1-91...............................8129
239.17b Form N-4 amended; eff. 6-1-91...............................8129
239.25 Form S-4 amended............................................57254
239.31 Authority citation removed..................................30055
(a) revised; Form F-1 amended..................................30056
239.32 Authority citation removed..................................30055
(a), (b)(2), (d), (e) and (g) revised; Form F-2 amended........30056
239.33 Authority citation removed..................................30055
(a)(1), (6)(iii), (6) note, (b)(1) and (3) revised; Form F-3
amended............................................................30057
239.34 Revised; Form F-4 amended...................................30058
Form F-4 amended...............................................57254
239.37 Added.......................................................30060
239.38 Added.......................................................30061
239.39 Added.......................................................30063
239.40 Added.......................................................30064
239.41 Added.......................................................30065
239.42 Added.......................................................30067
239.43 Added.......................................................56299
240 Authority citation amended...........7265, 9129, 19156, 28322, 30067
Authority citation corrected...................................12118
240.12g-3 Authority citation removed...............................30067
(a), (b) and (c)(2) revised; (c)(3) removed....................30068

[[Page 16]]

240.12a-7 Added....................................................28322
240.12g3-2 Authority citation removed..............................30067
(b)(4), (d)(1) and (2) revised.................................30068
240.12h-4 Added....................................................30068
240.3a12-2 Removed.................................................32078
240.3a12-3 (b) revised; authority citation removed.................30067
240.3b-6 (b)(1)(i) revised; authority citation removed.............30067
240.3b-7 Amended; eff. 5-1-91.......................................7265
240.12h-2 Removed; eff. 5-1-91......................................7265
240.13a-3 Added....................................................30068
240.13a-10 (g)(1) and (i) note revised.............................30068
240.13a-16 Authority citation removed..............................30067
(a) revised....................................................30068
240.13e-4 Authority citation removed...............................30067
(g) redesignated as (h); new (g) added.........................30069
240.13e-102 Added..................................................30069
240.14a.6 (m) added................................................57254
240.14a-101 Amended; eff. 5-1-91....................................7265
240.14c.2 (c) added................................................57254
240.14d-1 Authority citation removed...............................30067
(b) redesignated as (c); new (b) added.........................30071
240.14d-102 Added..................................................30071
240.14d-103 Added..................................................30073
240.14e-1 (a) revised..............................................57255
240.14e-2 Authority citation removed...............................30067
(c) added......................................................30075
240.15c2-11 Preliminary note added; (a) introductory text, (1)
through (4), (5) introductory text, (5) concluding text,
(b) through (d) and (f)(5) revised; (a)(5)(i) through
(xvi) amended; authority citation removed..................19156
240.15c3-1 (e) revised; eff. 5-6-91.................................9129
240.15d-4 Added....................................................30075
240.15d-5 Authority citation removed...............................30067
(b) revised; (c) added.........................................30075
240.15d-10 (g)(1) and (i) note revised.............................30075
240.15d-16 Authority citation removed..............................30067
(a)(2) removed; (a)(3) redesignated as (a)(2)..................30075
240.16a-1--240.16a-10 Undesignated center heading revised;
sectional authority citations removed.......................7265
240.16a-1 Revised; eff. 5-1-91......................................7265
(a)(2)(ii)(A) and (f) amended; (c)(3)(i) and (ii) revised......19927
240.16a-2 Revised; eff. 5-1-91......................................7267
240.16a-3 Revised; eff. 5-1-91......................................7267
240.16a-4 Revised; eff. 5-1-91......................................7268
(b) introductory text and (c) introductory text revised........19927
240.16a-5 Revised; eff. 5-1-91......................................7268
240.16a-6 Revised; eff. 5-1-91......................................7268
240.16a-7 Revised; eff. 5-1-91......................................7269
240.16a-8 Revised; eff. 5-1-91......................................7269
(b) introductory text revised..................................19927
240.16a-9 Revised; eff. 5-1-91......................................7269
240.16a-10 Revised; eff. 5-1-91.....................................7269
240.16a-11 Removed; eff. 5-1-91.....................................7265
240.16b-1--240.16b-8 Undesignated center heading republished........7270
240.16b-1 Revised; eff. 5-1-91......................................7270
240.16b-2 Revised; eff. 5-1-91......................................7270
240.16b-3 Revised; eff. 5-1-91......................................7270
(c)(2)(i), (e) introductory text and (g) revised...............19927
240.16b-4 Revised; eff. 5-1-91......................................7272
240.16b-5 Revised; eff. 5-1-91......................................7272
240.16b-6 Revised; eff. 5-1-91......................................7272
240.16b-7 Revised; eff. 5-1-91......................................7273
240.16b-8 Revised; eff. 5-1-91......................................7273
240.16b-9 Removed; eff. 5-1-91......................................7270
240.16b-10 Removed; eff. 5-1-91.....................................7270
240.16b-11 Removed; eff. 5-1-91.....................................7270
240.16c-1--240.16c-4 Undesignated center heading revised............7273
240.16c-1 Revised; eff. 5-1-91......................................7273
240.16c-2 Revised; eff. 5-1-91......................................7273
240.16c-3 Revised; eff. 5-1-91......................................7273
240.16c-4 Added; eff. 5-1-91........................................7273
241 Interpretive releases............................19928, 28986, 37000
249 Authority citation revised.....................................30075
249.103 Revised; eff. 5-1-91........................................7274
249.104 Form 4 amended.............................................14467
Form 3 amended; eff. 5-1-91.....................................7275
249.104 Revised; eff. 5-1-91........................................7274
Form 4 amended; eff. 5-1-91.....................................7278
249.105 Added; eff. 5-1-91..........................................7274
Form 5 added; eff. 5-1-91.......................................7281
249.220f (a) revised; (b) removed; (c) and (d) redesignated as (b)
and (c); Form 20-F amended.................................30075

[[Page 17]]

249.240f Added.....................................................30075
249.250 Added......................................................30076
249.306 Form 6-K amended...........................................30076
249.310 Form 10-K amended; eff. 5-1-91..............................7274
Authority citation removed.....................................30075
Form 10-K amended..............................................30077
Form 10-K amended..............................................45894
251 Interpretive releases..........................................19928
260 Authority citation revised.....................................22319
260.0-11 (b)(1)(i) revised.........................................30077
260.4d-7 Added.....................................................22319
260.4d-8 Added.....................................................22319
260.4d-9 Added.....................................................30077
260.5a-2 Revised...................................................22320
260.5b-1 Added.....................................................22320
260.5b-2 Added.....................................................22320
260.5b-3 Added.....................................................22320
260.7a-15 Revised..................................................22320
260.10a-1 Added....................................................22320
260.10a-2 Added....................................................22320
260.10a-3 Added....................................................22320
260.10a-4 Added....................................................22320
Revised........................................................30077
260.10a-5 Added....................................................30077
260.10b-4 Added....................................................22320
260.10b-5 Added....................................................22321
260.10b-6 Added....................................................22321
269 Authority citation revised.....................................22321
269.1 Form T-1 revised.............................................22321
Form T-1 amended...............................................30078
269.2 Form T-2 revised.............................................22324
269.5 Redesignated as 269.6; new 296.5 added.......................30078
269.6 Redesignated as 269.7; new 269.6 redesignated from 269.5.....30078
269.7 Redesignated as 269.8; new 269.7 redesignated from 269.6.....30078
269.8 Redesignated from 269.7......................................30078
269.9 Added; Form T-6 added........................................22326
Form T-6 amended...............................................30078
270 Authority citation amended...............................8124, 26030
270.2a-7 Revised; eff. 6-1-91.......................................8124
(a)(20)(ii)(A) and (c)(3) corrected; (a)(21)(a) correctly
designated as (a)(21)..............................................23106
(c)(3) introductory text and (6)(ii)(C) revised................26030
Technical correction...........................................26030
270.2a41-1 (a) introductory text revised; eff. 6-1-91...............8128
270.3a-5 (a)(5) and (6) amended; (a)(7) added; (b)(2)(ii) and
(3)(ii) revised............................................56299
270.3a-6 Added.....................................................56299
270.6c-4(T) Removed................................................56154
270.6c-5(T) Removed................................................56154
270.6c-9 Removed...................................................56300
270.12d1-1 Removed.................................................56300
270.12d2-1 Added...................................................56300
270.12d3-1 (d)(8)(v) revised; eff. 6-1-91...........................8128
270.30f-1 Revised; eff. 5-1-91......................................7275
270.34b-1 Introductory text revised; eff. 6-1-91....................6128
271 Interpretive releases..........................................19928
274.11A Form N-1A amended; eff. 6-1-91........................8129, 8130
274.11b Form N-3 amended; eff. 6-1-91.........................8129, 8130
274.101 Form N-SAR amended; eff. 5-1-91.............................7275
Form N-SAR amended; eff. 6-1-91.................................8129
274.304 Removed....................................................56300
Chapter IV
289 Added..........................................................32079
290 Added..........................................................32082

1992

17 CFR
57 FR
Page
Chapter I
1 Fee schedule......................................................1372
Authority citation revised.....................................23143
1.10 (j)(3) and (4) revised........................................23143
1.17 (h)(3)(vi) revised............................................20637
1.41 (e) revised...................................................20637
(o) through (t) added..........................................27924
1.41a (a)(5) revised...............................................27925
1.41b Revised......................................................58705
1.43 Revised.......................................................20637
1.46 (d)(8) and (9) added; (e)(1) revised; (e)(2) removed..........55085
1.57 (a)(1) revised................................................23143
1.62 Revised.......................................................23143
3.1 (a)(3), (b) and (c) revised; (d), (e) and (f) added............23144
3.10 Heading, (a), (b) and (d) revised.............................23144
3.11 (b) revised; (d) added........................................23145
3.12 Heading, (a), (b), (c) introductory text, (d)(1) introductory
text, (iv), (v), (2), (f) and (h) revised; (d)(4) and (5)
removed; (i) and (j) added.................................23145
3.13 Removed.......................................................23148
3.14 Removed.......................................................23148
3.15 Removed.......................................................23148

[[Page 18]]

3.16 Removed.......................................................23148
3.17 Removed.......................................................23148
3.18 Removed.......................................................23148
3.20 Removed.......................................................23148
3.21 (c) and (d) added.............................................23148
3.22 Introductory text, (a) and (c) revised........................23148
3.30 Revised.......................................................23148
3.32 (a), (c), (e), (g) and (h) revised............................23149
3.33 (a) introductory text, (e) and (f) introductory text revised
23150
3.40 (c) revised...................................................23151
3.42 (a) revised...................................................23151
3.44 (a)(3) and (5) revised........................................23151
3.50 (a) and (b)(1) revised........................................23151
3.51 (a) introductory text and (b) revised.........................23151
3.52 Removed.......................................................23151
3.53 Removed.......................................................23151
3.54 Removed.......................................................23151
3.55 (a) introductory text, (3), (b), (e) and (f) revised; (g)
through (k) removed........................................23151
3.56 Removed.......................................................23152
3.60 Revised.......................................................23152
3.61 Revised.......................................................23154
3.62 Removed.......................................................23154
3.63 Revised.......................................................23154
3.64 Added.........................................................23154
3.70 (a) and (c) revised...........................................23155
3.75 (c) revised...................................................23155
4.7 Added..........................................................34860
(b)(1)(ii)(B)(2)(xi) and (2)(i) corrected......................41173
4.8 Added..........................................................34865
(b) correctly designated.......................................41173
5 Fee schedule......................................................1372
5.2 (d) introductory text revised..................................20637
5.3 Removed........................................................20637
5 Appendix A revised................................................3523
7.100--7.101 (Subpart B) Removed...................................20637
7.200 Removed......................................................20637
12.2 (w) removed...................................................20637
(d)(4) removed; (d)(1), (h), (i)(1), (p) and (r) revised.......20637
12.5 (a) amended...................................................20638
12.6 (a) amended...................................................20638
12.8 (a) and (b) amended...........................................20638
12.10 (a)(3) and (c) amended.......................................20638
12.22 (b) revised..................................................20638
12.301 Removed.....................................................20637
12.302 Removed.....................................................20637
12.303 Introductory text and concluding text revised...............20638
12.304 (d) removed.................................................20637
12.408 (a)(2) and (3) amended......................................20638
15.03 Revised...............................................20403, 49394
15.04 Removed......................................................20638
16.02 (a)(1), (2) and (b) revised..................................40602
19.00 (b) introductory text revised................................41390
19.01 Introductory text, (a), (b) and (c) redesignated as (a)
introductory text, (1), (2) and (3); heading, new (a)
introductory text and (3) revised; (a)(4), (5) and (b)
added......................................................41390
19.02 Revised......................................................41391
19.10 Removed......................................................41391
20 Removed.........................................................20638
30 Order....................................................36369, 49644
Appendix B amended.............................1375, 2676, 38439, 40604
Amended; eff. 5-1-92...........................................10988
31 Fee schedule.....................................................1372
32 Order...........................................................36369
32.2 Revised.......................................................27926
33.4 (b)(4)(iii) and (8) removed...................................58978
140 Authority citation revised.....................................61291
140.2 (b) revised...................................................3722
(a) revised....................................................29203
140.61 Removed.....................................................20638
140.72 (a) amended.................................................20638
140.73 (a) introductory text and (b) amended.......................20638
140.77 (a), (b) and (c) amended....................................20638
140.81 Removed.....................................................20638
140.96 (b) revised.................................................20638
140.97 Added.......................................................12874
Effective date corrected.......................................20572
140.98 Added.......................................................61291
143 Authority citation revised.....................................61292
143.5 Introductory text revised....................................61292
145.6 (a) revised...................................................3722
(a) revised....................................................29203
145 Appendix A amended.............................................29203
Technical correction...........................................31563
146.13 Added........................................................4364
149.110 Removed....................................................20638
150 Authority citation revised.....................................44492
150.1 (e)(3) revised; (e)(4) redesignated as (e)(5); new (e)(4)
added......................................................44492
150.3 (a)(4) and (b) revised.......................................44492
180.2 (d)(1) revised...............................................46093
180.5 Revised......................................................46093

[[Page 19]]

Chapter II
200.1--200.30-16 (Subpart A) Authority citation corrected..........10614
200.30-1 (c) revised...............................................36449
200.30-6 (b) revised...............................................36449
200.80e Amended....................................................48970
202 Authority citation revised.....................................18216
202.3 (a) amended..................................................18216
202.3a Effective date extended through 9-1-93......................39359
210 Nomenclature change.....................................36501, 47409
210.3-01--210.3-20 Introductory note amended.......................45292
210.3-02 (a) and (b) amended.......................................45292
210.3-03 (b)(2) amended............................................45292
210.3-09 (c) amended...............................................45292
210.3-12 (a) amended...............................................45292
210.3-18 (a)(3) redesignated as (a)(4); (b) revised; new (a)(3)
added; (c) amended.........................................45292
210.3-19 (a)(2) and (d) amended....................................45293
210.3-21 Removed...................................................45293
210.4-08 (h)(3) added; (j) removed; (k)(1) amended.................45293
210.4-10 (i)(4)(i) revised; (j) amended; (k) removed...............45293
210.7-04 Amended...................................................45293
210.10-01 (a)(4) revised; (c)(3) and (4) amended...................45293
210.12-04 (a) amended..............................................45293
210.12-16 Amended..................................................45293
228 Added..........................................................36449
Authority citation revised.....................................48145
Technical correction...........................................54280
228.402 Revised....................................................48145
228.403 (b) introductory text revised..............................48150
228.601 (b)(10)(ii)(A) revised.....................................48150
229 Authority citation corrected...................................10614
Nomenclature change.....................................36501, 47409
Technical correction...........................................54280
229.402 Revised....................................................48150
(l) corrected..................................................53985
229.403 (b) introductory text revised..............................48158
229.601 (b)(10)(iii)(A) revised....................................48158
229.801 (g) added..................................................36466
229.802 (g) added..................................................36468
230 Authority citation revised.......................18043, 18216, 56834
Technical correction...........................................29119
Nomenclature change.....................................36501, 47409
230.134b Added.....................................................56834
230.144A (a)(1)(i)(F) through (H) redesignated as (a)(1)(i)(G)
through (I); (a)(1)(i)(A) note and new (a)(1)(i)(F) added;
(a)(1)(i)(B) and (2) amended...............................48722
230.174 (g) added..................................................18043
230.175 (b)(1)(i) and (2)(i) amended...............................36468
230.251--230.263 Undesignated center heading and text revised......36468
230.405 Amended....................................................36472
230.419 Added......................................................18043
230.424 (b)(6) amended.............................................48975
230.428 (b)(2) and Instruction 2 correctly revised.................10614
230.430 Existing text designated as (a); (b) added.................56834
230.430A (a)(3) amended............................................48976
(e) added......................................................56834
230.457 (o) added..................................................48976
230.460 (b) redesignated as (b)(1); (2) added......................56834
230.462 Revised....................................................48976
230.463 (d)(6) revised.............................................56834
230.481 (b)(2) amended.............................................36473
(g) added......................................................56834
230.495 (a), (c) and (d) revised...................................56834
230.496 Revised....................................................56835
230.497 (c) and (e) revised........................................56835
230.499 Revised....................................................18216
230.502 (b)(1), (b) note, (c) introductory text, (d) introductory
text and concluding text amended....................36473, 47409
230.504 Redesignated as 230.504a; new 230.504 added................36473
230.504a Redesignated from 230.504; heading revised................36473
Removed........................................................47409
230.505 (b)(2)(iii) introductory text, (A) and (B) revised.........36473
230.508 (a)(2) revised.............................................36473
239 Authority citation corrected...................................10614
239 Nomenclature change............................................36501
239.10 Added.......................................................36473
239.12 Form S-2 amended............................................36475
239.13 Form S-3 amended............................................36475

[[Page 20]]

(a) introductory text, (3)(i), (b) introductory text, (1),
(2), and (c)(2) revised; (a)(4), (5) and (6) redesignated as
(a)(5), (6) and (7); new (a)(4) and (b)(5) added; new (a)(7)
introductory text and (c)(3) amended; Form S-3 amended.............48976
239.14 Form N-2 revised............................................56836
239.15A Form N-1A amended...........................................9829
239.16b Form S-8 amended...........................................36475
239.23 Form N-14 amended...........................................56835
239.25 Form S-4 amended.....................................36475, 48977
239.28 Removed.....................................................36473
239.32 Form F-2 corrected..........................................10615
239.36 Form F-6 amended............................................37084
239.37 Form F-7 corrected..........................................10615
239.38 Form F-8 corrected..........................................10615
239.39 Form F-9 corrected..........................................10615
239.40 Form F-10 corrected.........................................10615
239.41 Form F-80 corrected.........................................10615
239.42 Form F-X corrected..........................................10615
Heading and (a) revised; (d), (e) and Form F-X amended; (f)
added..............................................................36475
239.62 Revised.....................................................18218
239.63 Revised.....................................................18218
239.64 Revised.....................................................18218
239.90 Revised; Form 1-A revised...................................36476
239.91 Revised.....................................................36476
Form 2-A revised...............................................36493
239.92 Removed.....................................................36473
239.93 Removed.....................................................36473
239.94 Removed.....................................................36473
239.95 Removed.....................................................36473
239.96 Removed.....................................................36473
240 Authority citation corrected...................................10615
Authority citation revised.....................................18218
Phase-in period extended.......................................28781
Technical corrections...................................29119, 54280
Authority citation amended.....................................32168
Nomenclature change.....................................36501, 47409
240.3a12-8 (a)(1)(iv) through (xii) revised; (a)(1)(xiii) and
(xiv)added..................................................1378
240.3a51-1 Added...................................................18032
240.3b-6 (b)(1)(i) and (2)(i) amended..............................36494
240.12b-2 Amended..................................................36494
240.12b-23 (a)(3) revised..........................................48977
240.12b-37 Revised.................................................18218
240.13a-13 (a) corrected...........................................10615
240.13a-16 (a) correctly revised...................................10615
240.13e-100 Amended.........................................45294, 48290
240.13e-101 Amended................................................45294
240.13f-2(T) Revised...............................................18227
240.14a-1 (l)(2) revised...........................................48290
240.14a-2 (b) introductory text revised; (b)(1) and (2)
redesignated as (b)(2) and (3); new (b)(1) added...........48290
240.14a-3 (b)(5)(ii) amended; (b) note added.......................36495
(b)(1) amended.................................................45294
(a) revised; (f) added.........................................48291
240.14a-4 (a)(3), (b)(1) and (d)(4) amended; (f) added.............48291
240.14a-6 (b) and (h) removed; (c) through (g) and (i) through (m)
redesignated as (b) through (f) and (h) through (l); (a)
introductory text and new (b) amended; new (g) and (i)(5)
added; new (c) through (e) revised.........................48291
240.14a-7 Revised..................................................48292
240.14a-11 (b) and (c) removed; (d) through (h) redesignated as
(b) through (f); new (b)(1) removed; new (b)(2) through
(4) redesignated as (b)(1) through (3); new (b)(1) and (d)
amended; new (b)(2), (3), (c) and (e) revised..............48293
240.14a-12 (a)(3), (4) and (b) revised.............................48293
240.14a-13 (a) Note 2 revised; (a)(1)(i)(C), (ii)(A), (2), (b)
introductory text, (1) and (c) amended......................1099
240.14a-101 Amended..................................36495, 48158, 48294
240.14a-102 Removed................................................48294
240.14a-103 Added..................................................48294
240.14b-1 Revised...................................................1099
240.14b-2 Revised...................................................1100
240.14c-1 (j) revised...............................................1101
240.14c-2 (a) introductory text revised.............................1102
(a) introductory text revised..................................48295
240.14c-5 (d) revised..............................................48295
240.14c-7 (a)(1)(i)(C), (3) and (4) redesignated as (a)(1)(i)(D),
(4) and (5); new (a)(3) added; (a) Note 3 revised;
(a)(1)(ii)(A), (B), (2), (b) introductory text, (1) and
(c) introductory text amended...............................1102
240.14c-101 Note amended...........................................36495
240.14d-102 Corrected..............................................10615
240.15c3-1a (c)(1) through (5), (7), (9) and (10) revised..........56988

[[Page 21]]

240.15c3-1c (b)(1) revised.........................................56988
240.15c3-1d (a)(2)(iii), (b)(6)(iii), (7), (8), (10)(ii)(B),
(c)(2), (5)(i) and (ii)(A) revised.........................56988
240.15c3-1e Added..................................................56990
240.15g-1 Added....................................................18032
240.15g-2 Added....................................................18033
240.15g-3 Added....................................................18033
240.15g-4 Added....................................................18034
240.15g-5 Added....................................................18034
240.15g-6 Added....................................................18034
240.15g-8 Added....................................................18045
240.15g-100 Added..................................................18035
Amended........................................................31446
240.17a-5 (g)(1) amended; nomenclature change......................45294
240.17h-1T Added...................................................32168
240.17h-2T Added...................................................32170
240.17Ad-15 Added...................................................1095
249 Authority citation corrected...................................10615
Nomenclature change.....................................36501, 47409
Technical correction...........................................54280
249.208a Form 8-A amended..........................................48978
249.210b Added.....................................................36495
249.220f Form 20-F amended.........................................45294
249.308 Form 8-K amended...........................................36501
249.308a Form 10-Q amended.........................................48295
249.308b Added.....................................................36498
Form 10-QSB amended............................................48295
249.310 Form 10-K corrected........................................10615
Form 10-K amended................................45294, 48159, 48295
249.310b Added.....................................................36496
Form 10-KSB amended............................................48295
249.328T Added.....................................................32171
249.444 Revised....................................................18219
249.445 Revised....................................................18219
249.446 Revised....................................................18219
249.501 Form BD revised.....................................34032, 53262
249.617 Form X-17A-5 amended.......................................53278
250 Authority citation revised.....................................31122
250.52 Revised.....................................................31122
250.111 Revised....................................................18232
259 Authority citation revised.....................................45294
259.5s Form U5S amended............................................45294
259.601 revised....................................................18219
259.602 Revised....................................................18219
259.603 Revised....................................................18219
260 Authority citation revised.....................................18220
Nomenclature change.....................................36501, 47409
260.0-12 Revised...................................................18220
260.4a-1 Revised...................................................36501
260.4a-2 Redesignated as 260.4a-3; new 240.4a-2 added..............36501
260.4a-3 Redesignated from 260.4a-2 and amended....................36501
260.4d-9 (a) introductory text amended.............................36501
260.10a-5 (a) amended..............................................36501
269 Authority citation revised.....................................18220
269.6 Revised......................................................18220
269.7 Revised......................................................18220
269.8 Revised......................................................18220
270.0-11 Revised...................................................18228
270.3a-7 Added.....................................................56256
270.8b-11 (b) revised..............................................56835
270.8b-12 (b) revised..............................................56836
270.8b-16 Existing text designated as (a); (b), (c) and (d) added
56836
270.20a-1 (c) amended...............................................1102
270.30d-1 (a) revised..............................................56836
274 Authority citation revised.....................................56836
274.11a-1 Form N-2 revised.........................................56836
274.11A Form N-1A amended...........................................9829
274.11c Form N-4 amended...........................................45294
274.401 Revised....................................................18221
274.402 Revised....................................................18221
274.403 Revised....................................................18221

1993

17 CFR
58 FR
Page
Chapter I
1 Authority citation revised................................10952, 19589
Technical correction......................22020, 42361, 58651, 58729
1.3 (x) revised....................................................19589
1.10 (j)(2)(ii) revised............................................19589
(a)(2)(ii) introductory text, (3)(ii)(B), (b)(1), (2), (h) and
(j)(8) revised.....................................................10952
(b)(2)(ii)(B) corrected........................................12988
1.12 (g) revised...................................................10953
1.17 (c)(5)(vi) revised............................................68519
1.19 (a) and (b) revised; (c) added................................68520
1.28 Revised.......................................................10953
1.31 (b) and (c) revised; (d) added................................27464
(b)(2) revised.................................................27467
1.35 (b) amended...................................................27465
(a-1), (2), (3) and (4) revised................................31166
(e)(1) revised.................................................40348
1.37 (a) revised...................................................28501
1.41 (a)(4), (f)(2), (3) and (g) revised; (a)(8) and (f)(4)
through (9) added..........................................26237
(d) heading and (1) introductory text revised..................37653
1.41c Added........................................................26239

[[Page 22]]

1.55 (a) and (b) revised; (c) and (d) redesignated as (e) and (f);
new (c) and new (d) added..................................17503
1.59 Revised.......................................................54973
1.62 Revised.......................................................19589
1.63 (a)(4) and (6) redesignated as (a)(6) and (7); new (a)(4)
added; (a)(2), (5), new (6), (b) introductory text and (c)
through (f) revised........................................37653
1.64 Added.........................................................37654
1.65 Added.........................................................17504
1.66 Added.........................................................19589
(b)(1)(ii) correctly designated................................21776
1.67 Added.........................................................37655
1 Appendix B amended...............................................42645
3 Authority citation revised.......................................19590
3.1 Authority citation removed.....................................19590
3.2 Authority citation removed.....................................19590
3.4 (a) revised; authority citation removed........................19590
3.10 Authority citation removed....................................19590
3.11 Revised.......................................................19591
3.12 Authority citation removed....................................19590
(d)(1)(iv) and (i)(1)(iv) revised..............................19592
3.13 Authority citation removed....................................19590
3.14 Authority citation removed....................................19590
3.15 Authority citation removed....................................19590
3.16 Authority citation removed....................................19590
3.17 Authority citation removed....................................19590
3.18 Authority citation removed....................................19590
3.20 Authority citation removed....................................19590
3.21 Authority citation removed....................................19590
(b)(2) revised.................................................19592
3.22 Authority citation removed....................................19590
3.30 Authority citation removed....................................19590
3.31 Authority citation removed....................................19590
(a) amended; (b) and (d) revised...............................19593
3.32 Authority citation removed....................................19590
3.33 Authority citation removed....................................19590
(a) introductory text, (e) and (f) introductory text revised;
(b) introductory text amended......................................19592
3.34 Added.........................................................19593
(d)(2) corrected...............................................21776
3.40--3.47 (Subpart B) Authority citation removed..................19590
3.40 Heading, introductory text and (c) revised....................19594
3.41 (a) revised...................................................19594
(a) corrected..................................................21776
3.42 (a)(2), (4), (5), (6) and (b) revised; (a)(7) and (8) added
19594
3.43 (b)(1) and (2) revised........................................19595
3.46 (a) revised...................................................19595
3.47 (b)(2) revised................................................19595
3.50--3.64 (Subpart C) Authority citation removed..................19590
3.55 (e)(1) revised................................................19595
3.56 Added.........................................................19595
3.60 (b)(2)(i) introductory text, (A), (C), (ii)(C) and (f)(3)
revised; (l) added.........................................19596
3.61 Heading and (a) revised.......................................19597
3.64 (a)(2) and (d) revised........................................19597
3.70 (Subpart D) Authority citation removed........................19590
3.75 (Subpart E) Authority citation removed........................19590
3 Appendix A authority cite removed................................19590
Appendix A amended.............................................19597
4 Advisory..........................................................8226
4.5 (a)(4) introductory text, (b)(4) and (c)(2)(i) revised;
(c)(2)(ii) removed; (c)(2)(iii), (iv) and (v) redesignated
as (c)(2)(ii), (iii) and (iv)...............................6374
(a)(4), (b)(4) and (c) introductory text revised; (a)(4)(iv)
added..............................................................43793
5 Fee schedule.....................................................19769
10.1 (a) revised...................................................19597
17.00 (b) revised..................................................33330
17.01 (b)(6) revised...............................................33330
18.01 (a) revised..................................................33330
18.04 (a)(5) revised...............................................33330
30 Technical correction............................................22020
30.6 (a) revised...................................................17505
30 Appendixes B and C amended......................................10957
30 Appendix C amended..............................................19210
33 Technical correction............................................22020
33.4 (b)(9) removed................................................30703
33.7 (a) revised...................................................17505

[[Page 23]]

34 Revised..........................................................5586
35 Added............................................................5594
140 Technical correction............................................6677
140.735-1--140.735-16 (Subpart C) Authority citation revised.......52657
140.735-1 Revised..................................................52657
140.735-2 Removed; new 140.735-2 redesignated from 140.735-4 and
revised....................................................52657
140.735-3 Removed..................................................52657
Redesignated from 140.735-5 and revised........................52658
140.735-4 Redesignated as 140.735-2................................52657
Redesignated from 140.735-8A...................................52658
140.735-5 Redesignated as 140.735-3; new 140.735-5 redesignated
from 140.735-9 and revised.................................52658
140.735-6 Removed; new 140.735-6 redesignated from 140.735-10 and
revised....................................................52658
Footnote 15 corrected..........................................58593
140.735-7 Removed..................................................52658
Redesignated from 140.735-12 and revised.......................52660
140.735-8 Removed..................................................52658
Redesignated from 140.735-16 and revised.......................52660
140.735-8A Redesignated as 140.735-4...............................52658
140.735-9 Redesignated as 140.735-5................................52658
140.735-10 Redesignated as 140.735-6...............................52658
140.735-11 Removed.................................................52659
140.735-12 Redesignated as 140.735-7...............................52659
140.735-13 Removed.................................................52660
140.735-14 Removed.................................................52660
140.735-15 Removed.................................................52660
140.735-16 Redesignated as 140.735-8...............................52660
145.6 Regulation at 57 FR 29203 correctly designated................7040
(b) revised....................................................19597
150 Authority citation revised.....................................17981
150.1 (f) through (i) added; interim...............................17981
150.2 Revised; interim.............................................17982
150.3 (a)(2) removed; (a)(3) revised; interim......................17982
(a)(4) and (b) correctly designated.............................6854
155.5 Added........................................................40348
156 Added..........................................................31171
180 Technical correction...........................................22020
180.3 (b)(2) revised...............................................17505
190 Technical correction...........................................22020
190.06 (b) and (d)(1) revised......................................17505
190.10 (c)(1) revised..............................................17505
Chapter II
200.1--200.30-16 (Subpart A) Authority citation revised............14659
Authority citation corrected...................................26383
200.15 Added.......................................................52418
200.30-1 (a)(9), (e)(4) and (f)(11) removed; (e)(5) through (8)
and (f)(12), (13) and (14) redesignated as (e)(4) through
(7) and (f)(11), (12) and (13); (k), (l) and (m) added;
interim....................................................14659
(k) corrected..................................................21349
(f)(14) and (15) added.........................................52418
200.30-3 (a)(51) added.............................................11792
(a)(52) added..................................................25774
(a)(53) and (54) added.........................................52419
(a)(55) added; eff. 6-1-95.....................................52902
(a)(6) revised.................................................68520
200.30-4 (a)(7) revised; (a)(9) added..............................52419
200.30-5 (a)(7) and (f)(10) removed; (a)(8) and (9) redesignated
as new (a)(7) and (8); (j), (k) and (l) added; interim.....14857
(m) and (n) added; interim.....................................15004
(j) corrected..................................................17327
(c-1)(1) amended; (c-1)(3) and (4) added.......................52419
200.30-6 (d)(1) removed; (d)(2) and (3) redesignated as (d)(1) and
(2)........................................................45839
(d)(1)(i) corrected; (d)(1)(ii), (2), (3) and (e) reinstated;
CFR correction.....................................................60380
200.30-14 (f) revised...............................................8541
(j) added......................................................52419
200.30-17 Added....................................................52419
200.80e Amended....................................................64120
200.83 (i) added; interim..........................................14659
201 Authority citation revised.....................................14659
Authority citation corrected...................................26383
201.5 Amended; interim.............................................14659
201.25 (a) amended; interim........................................14659
202 Authority citation revised.....................................14659
Technical correction...........................................17327
202.3 (a) amended; interim.........................................15004
202.3a Revised.....................................................15010
202.7 Existing text designated as (a) and amended; (b) added;
interim....................................................14659
203 Authority citation revised.....................................52419
203.2 Revised......................................................52419

[[Page 24]]

204 Added..........................................................38520
204.1--204.11 (Subpart A) Added....................................64370
204.50--204.56 (Subpart C) Added...................................64372
204.75--204.77 (Subpart D) Added...................................64373
210 Authority citation revised.....................................14660
Undesignated center heading added; interim.....................14660
210.3-19 (b), (c) and (f) revised..................................60305
211 Staff Accounting Bulletin No. 92 added.........................32843
Regulation at 58 FR 32843 corrected............................34842
Staff Accounting Bulletin No. 93 added.........................59361
228 Authority citation revised.....................................14660
Undesignated center heading added; interim.....................14660
228.310 (c)(3)(i), (ii) and (g)(2)(i) revised; (c)(3)(iv) removed;
(c)(5) amended.............................................26514
228.402 (a)(2), (b)(1) table, (2)(iv)(B), Instruction 2, (c)(1)
table, (2)(ii), (d)(1) table, (2)(iv) and (e)(2)(iv)
revised....................................................63012
228.502 (d) heading, (1), (2), (3) introductory text and (d)(3)(i)
through (v) redesignated as (d)(1), (i), (ii), (iii)
introductory text and (A) through (E); new (d)(2) added....19605
228.508 (i) added..................................................19605
228.601 (a)(1) and (b)(3) revised; (b)(19) removed; (b)(13)
existing text designated as (b)(13)(i), (b)(20) through
(27) redesignated as (b)(19) through (26), (b)(28)
redesignated as (b)(99), (b)(29) redesignated as (b)(28),
new (b)(25) existing text designated as (b)(25)(i) and new
(b)(99) existing text designated as (b)(99)(i); (a)(3),
(b)(13)(ii), (b)(25)(ii), new (b)(27), (c) and Appendixes
A through F added; instructions, table and new (b)(24)
amended; interim; eff. 11-1-93.............................14660
(a) and table corrected........................................21349
(a) table, (b)(27) heading, (c) heading, (2) heading and (3)
heading corrected..................................................26383
Table correctly revised........................................27469
229 Authority citation revised.....................................14664
Undesignated center heading added; interim.....................14664
Technical correction...........................................17327
229.10 (b)(3)(iii) amended; interim................................14665
(c)(1)(i) amended..............................................62029
229.402 (a)(3), (b)(1) table, (2)(iv)(B), Instruction 2, (c)(1)
table, (2)(ii), Instruction 9, (d)(1) table , (2)(iv),
(e)(2)(iv), (f)(1)(ii)(A), (i)(3)(i) table, (ii)(C) and
(l) Instructions 2 and 5 revised...........................63013
229.501 (c)(4) amended; interim....................................14665
229.502 (d) heading, (1), (2), (3) introductory text and (i)
through (v) redesignated as (d)(1) heading, (i), (ii),
(iii) introductory text and (A) through (E); new (d)(2)
added......................................................19605
229.508 (k) added..................................................19606
229.512 (a)(4) revised.............................................60306
229.601 (a)(1) and (b)(3) revised; (b)(19) and (29) removed;
(b)(13) existing text designated as (b)(13)(i), (b)(20)
through (27) redesignated as (b)(19) through (26), (b)(28)
redesignated as (b)(99), (b)(29) redesignated as (b)(28)
and new (b)(25) existing text designated as (b)(25)(i);
(a)(4) Instruction 4, (b)(13)(ii), new (b)(27),
(b)(25)(ii), (b)(99)(iii), (c) and Appendixes A through F
added; table and new (b)(24) amended; interim; eff. 11-1-
93.........................................................14665
(a)(1) amended; interim........................................14857
(c)(1)(i) corrected............................................21349
(a) table correctly revised....................................27471
230 Undesignated center heading added; interim.....................14669
Technical correction...........................................17327
230.100 (a)(6) and (7) added; interim..............................14669
230.110 Revised; interim...........................................14669
230.134 (a)(14)(i) revised.........................................62029
230.144 (d)(2)(i), (ii) and (iii) added............................67312
230.158 (d) added; interim.........................................14669
230.252 (e) revised................................................65542
230.254 (e) added..................................................26514
230.400--230.494 (Regulation C) Undesignated center heading added;
interim....................................................14669

[[Page 25]]

230.405 Authority citation removed; interim........................14669
Amended; interim...............................................14670
230.406 Authority citation removed; interim........................14669
(j) added; interim.............................................14670
230.418 Authority citation removed; interim........................14669
(b)(2) and (3) amended; (b)(4) added; interim..................14670
230.436 (g)(1) revised.............................................62030
230.455 Revised....................................................65542
230.461 (b)(7) amended.............................................18146
230.483 Heading revised; (e) added; interim; eff. 11-1-93..........14857
230.485 (f) added; interim.........................................14858
230.486 (g) added; interim.........................................14858
230.487 (d) added; interim.........................................14858
230.488 (c) added; interim.........................................14858
230.495 (e) added; interim.........................................14859
230.497 (j) added; interim.........................................14859
230.499 Removed; interim...........................................14670
230.502 (b)(2)(i) and (ii)(B) revised..............................26514
232 Added; interim.................................................14670
232.11 (f) corrected...............................................26383
232.12 (a) corrected...............................................21349
232.101 (a)(1)(i) corrected........................................26383
232.306 (a) note corrected.........................................21349
232.310 Corrected..................................................21509
232.501 (b)(2) corrected...........................................21349
239 Authority citation revised.....................................14678
Technical correction...........................................17327
239.9 Added........................................................26515
Form SB-1 amended..............................................65542
239.10 Form SB-2 amended; interim..................................14678
Form SB-2 amended..............................................65542
239.11 Form S-1 amended; interim...................................14678
239.12 (h) added; authority citation removed; interim..............14678
Form S-2 amended; interim......................................14679
Form S-2 amended...............................................26518
239.13 (a)(7) added; Form S-3 amended; interim; effective in part
11-1-93....................................................14679
Regulation at 58 FR 14679 correctly designated; Form S-3
corrected..........................................................16771
239.14 Form N-2 amended; interim; eff. 11-1-93.....................14861
Form N-2 amended...............................................19346
239.15 Form N-1 amended; interim; eff. 11-1-93.....................14861
239.15A Form N-1A amended; interim; eff. 11-1-93...................14861
Form N-1A amended; eff. 7-1-93...........................19056-19058
Form N-1A amended..............................................49922
239.16 Form S-6 amended; interim; eff. 11-1-93.....................14859
239.16b Introductory text, (a) and (b) redesignated as (a)
introductory text, (1) and (2); new (b) added; Form S-8
amended; interim; effective in part 4-26-93 and 11-1-93....14680
239.17a Form N-3 amended; interim; eff. 11-1-93....................14861
Form N-3 amended...............................................49922
239.17b Form N-4 amended; interim; eff. 11-1-93....................14862
239.18 Authority citation removed; interim.........................14678
Form S-11 amended; interim.....................................14680
239.20 Form S-20 amended; interim..................................14680
239.23 Form N-14 amended; interim..................................14859
Form N-14 amended; eff. 7-1-93.................................19055
239.24 Form N-5 amended; interim; eff. 11-1-93.....................14862
239.25 Form S-4 amended; interim...................................14680
Form S-4 amended...............................................26518
239.31 Form F-1 amended; interim...................................14681
239.32 (h) added; Form F-2 amended; interim........................14681
Form F-2 amended...............................................60306
239.33 (a)(7) added; Form F-3 amended; interim.....................14681
Form F-3 amended...............................................60306
239.34 Form F-4 amended; interim...................................14682
239.36 Authority citation removed; interim.........................14678
239.37 Form F-7 amended............................................62030
239.39 (b)(4) removed; (b)(5) redesignated as (b)(4); (b)(3), new
(b)(4) and (e) revised; (f) introductory text, (l) and
Form F-9 amended...........................................62030
239.40 Form F-10 amended....................................35368, 62031
(c)(3), (h), (i) introductory text and (1) amended; (c)(4)
removed; (c)(5) redesignated as (c)(4) and revised.................62030
239.62 Regulation at 57 FR 18218 confirmed; interim................14659
Form ET revised; interim.......................................14688

[[Page 26]]

239.63 Regulation at 57 FR 18218 confirmed; interim................14659
Form ID revised; interim.......................................14687
239.64 Revised; interim............................................14682
Form SE revised; interim.......................................14688
239.65 Added; interim..............................................14682
Form TH added; interim.........................................14689
239.90 Form 1-A amended............................................26519
240 Authority citation revised.....................................14682
Undesignated center heading added; interim.....................14682
Technical correction...........................................17327
Phase-in period extended.......................................36866
Policy statement...............................................60324
240.0-1 (a)(5) and (6) added; interim..............................14682
240.0-2 Revised; interim...........................................14682
240.0-3 Authority citation removed; interim........................14682
240.0-11 (a)(5) revised; interim...................................14682
240.3a51-1 (d) introductory text revised...........................58101
240.10a-1 (e)(9) removed...........................................18146
240.10b-2 Removed..................................................18146
240.10b-6 (a)(4)(x) removed........................................18146
(h) redesignated as (i); new (h) added.........................19343
(a)(4)(xiii) amended; (a)(4)(xiv) added........................19606
(i) redesignated as (j); new (i) added.........................60329
240.10b-6A Added...................................................19606
240.10b-7 (o) redesignated as (p); new (o) added...................60329
240.10b-8 (f) redesignated as (g); new (f) added...................60329
240.12b-1--240.12b-36 Undesignated center heading added; interim
14682
240.12b-15 Revised; authority citation removed; interim............14682
240.12b-25 Section heading, (a) and (b)(2)(ii) revised; (g) added;
interim....................................................14683
(g) corrected..................................................21349
240.12b-37 Removed; interim........................................14683
240.13d-1--240.13f-1 Undesignated center heading added; interim....14683
240.13d-2 (c) added; interim.......................................14683
240.13e-4 (f)(12) added; interim...................................14683
(h)(6) amended; (h)(7) redesignated as (h)(8); new (h)(7)
added..............................................................19343
240.13f-2 Redesignated from 240.13f-2(T) and revised; interim......14859
240.13f-2(T) Redesignated as 240.13f-2; interim....................14859
240.14a-1--240.14a-101 Undesignated center heading added; interim
14683
240.14a-3 (c) note removed; interim................................14683
(b) introductory text note revised.............................26519
240.14a-6 Authority citation removed; interim......................14682
(j) amended; (m) added; interim................................14683
(a) and undesignated text revised..............................69226
240.14a-101 Schedule 14A amended...................................63015
240.14a-11 (c) amended; (d) existing text designated as (d)(1);
(d)(2) added; interim......................................14683
240.14a-12 (b) amended; interim....................................14683
Authority citation removed; interim............................14682
240.14a-101 Amended; interim................................14684, 26519
Corrected......................................................26383
240.14c-1--240.14c-101 Undesignated center heading added; interim
14684
240.14c-3 (a)(2) note added........................................26519
240.14c-5 (h) added; interim.......................................14684
(a) and undesignated text revised..............................69226
240.14c-101 Amended; interim.......................................14684
240.14d-1--240.14d-103 Undesignated center heading added; interim
14684
240.14e-1 Authority citation removed; interim......................14682
(e) added; interim.............................................14685
240.14e-6 Added....................................................19343
240.15b1-1 Heading revised, existing text designated as (a), (b)
and (c) added.................................................14
240.15b1-2 Removed....................................................14
240.15b1-3 Revised....................................................10
Correctly designated...........................................21334
240.15b3-1 Revised....................................................14
240.15b6-1 (b), (c) and (d) redesignated as (c), (d) and (e); new
(b) added; new (e) revised....................................14
240.15b7-1 Added...................................................27658

[[Page 27]]

240.15c2-6 Redesignated as 240.15g-9...............................37417
240.15c3-1 (a)(3), (5), (c)(2)(vi)(I) and (f) removed; (c)(1)(xii)
amended; (c)(1)(xiv) and (xv) added; (a) introductory
text, (1), (2), (4), (6)(i), (7)(i), (9), (c)(1)(xiii),
(2)(i)(C)(1), (iv)(B), (F)(3)(i)(B), (C), (vi)
introductory text, (A)(5), (J), (M), (viii), (ix),
(x)(A)(2) through (5), (9) and (10) revised................56984
(b)(1) and (c)(2)(x)(A) introductory text revised;
(c)(2)(vi)(N) added................................................43559
240.15c3-1d (c)(5)(i) introductory text amended....................37657
240.15c6-1 Added; eff. 6 1 95......................................52903
240.15d-2 (a) amended..............................................60306
240.15g-2 Revised..................................................37417
240.15g-9 Redesignated from 240.15c2-6; (a) introductory text,
(2)(i), (ii), (b) introductory text, (2), and (3)(ii)
amended; (c) and (d) revised...............................37417
240.15g-100 Amended................................................37417
240.15Ba2-2 Revised...................................................14
240.15Ba2-4 Revised...................................................10
240.15Ba2-6 Removed...................................................11
240.15Bc3-1 (b) and (c) redesignated as (c) and (d); new (b)
added; new (d) revised........................................14
240.15Ca1-1 (c) added.................................................14
240.15Ca2-1 Revised...................................................15
240.15Ca2-2 Removed...................................................15
240.15Ca2-3 Revised...................................................11
(b) amended.......................................................15
240.15Cc1-1 (b) and (c) redesignated as (c) and (d); heading and
new (d) revised; (b) added....................................15
240.17a-5 (c)(2)(iii) revised; (h)(2) amended......................37657
(a)(5) added; (d)(1)(i) and (l)(1) revised.....................45839
(m) revised....................................................45840
240.17a-11 Revised.................................................37657
240.17h-1T (a)(1) amended..........................................25774
240.24b-2 Authority citation removed; interim......................14682
(g) added; interim.............................................14685
Correctly designated...........................................26383
240.24c-1 Added....................................................52419
241 Interpretive releases.............................................11
249 Technical correction...........................................17327
249.208a Form 8-A amended; interim.................................14685
Form 8-A corrected.............................................16771
Authority citation removed; interim............................14685
249.210b Form 10-SB amended.................................26519, 26520
249.218 Form 18 amended; interim...................................14685
249.240f Form 40-F amended.........................................35368
(b)(4) and (5) reinstated; CFR correction......................58651
(b)(4) removed; (b)(5) redesignated as (b)(4); (b)(3) and new
(4) revised; (c) introductory text, (1) and Form 40-F amended......62031
249.308a Authority citation removed; Form 10-Q amended; interim....14685
249.308b Form 10-QSB amended; interim..............................14685
Form 10-QSB amended............................................26520
249.310 Form 10-K amended; interim.................................14685
249.310b Form 10-KSB amended; interim..............................14686
Form 10-KSB amended............................................26521
249.311 Authority citation removed; interim........................14685
Form 11-K amended; interim.....................................14686
249.322 Authority citation removed; interim........................14685
Existing text designated as (a); (b) added; Form 12b-25
amended; interim...................................................14686
249.326 Redesignated from 249.326T; Form 13F-E amended; interim....14859
249.326(T) Redesignated; interim...................................14859
249.444 Revised; interim...........................................14686
Form SE revised; interim.......................................14687
249.445 Regulation at 57 FR 18219 confirmed........................14659
Form ET revised; interim.......................................14687
249.446 Regulation at 57 FR 18219 confirmed; Form ID revised;
interim....................................................14659
249.447 Revised; interim...........................................14686
Form TH added; interim.........................................14687
249.460 (Subpart E) Removed; Form 8 removed; interim...............14686
249.501 Amended.......................................................15
249.501a Form BDW amended.............................................15

[[Page 28]]

250 Undesignated center heading added; interim.....................15005
Technical correction...........................................17327
250.16 (c) note added; interim.....................................15005
250.20 (b) revised; (c) amended; (f) added; interim................15005
250.21 Existing text designated as (a); new (a) heading and (b)
added; interim.............................................15005
250.22 (b) existing text redesignated as (b)(1); (b)(2) added;
interim....................................................15005
250.29 Introductory note added; interim............................15005
250.53 Added.......................................................51504
250.54 Added.......................................................51505
250.57 Added.......................................................51505
250.104 Introductory note added; interim...........................15005
259 Technical correction...........................................17327
259.5b Form U5B amended; interim...................................15005
259.5s Form U5S amended; interim; eff. 11-1-93.....................15006
Form U5S amended; final........................................51505
259.101 Form U-1 amended; interim; eff. 11-1-93....................15006
259.113 Form U-13-1 amended; interim...............................15007
259.207 Added; Form U-57 added.....................................51506
259.212b Form U-12(I)-B amended; interim...........................15007
259.213 Form U-13E-1 amended; interim..............................15007
259.221 Form U-R-1 amended; interim................................15007
259.313 Form U-13-60 amended; interim; eff. 11-1-93................15007
259.402 Form U-3A-2 amended; interim; eff. 11-1-93.................15007
Form U-3A-2 amended; final.....................................51506
259.403 Form U-3A3-1 amended; interim..............................15007
259.405 Added; Form U-33-S added...................................51507
259.501 Form U-A removed; interim..................................15007
259.601 Regulation at 57 FR 18219 confirmed........................14659
259.602 Regulation at 57 FR 18219 confirmed........................14659
259.603 Revised; interim...........................................15007
259.604 Added; interim.............................................15007
260 Undesignated center heading added; interim.....................14686
260.0-2 (g) through (k) redesignated as (i) through (m); new (g)
and new (h) added; interim.................................14686
260.0-5 Revised; interim...........................................14687
260.4d-9 (a) introductory text, (2) and (3) amended; (b) removed;
(a) introductory text, (1), (2) and (3) redesignated as
introductory text, (a), (b) and (c); (d) added.............33190
260.7a-10 Added....................................................15011
260.10a-5 (a) amended; (b) and (c) removed; (d) redesignated as
(b)........................................................33191
269 Authority citation revised.....................................14687
269.6 Regulation at 57 FR 18220 confirmed..........................14659
Form ET revised; interim.......................................14687
269.7 Regulation at 57 FR 18220 confirmed..........................14659
Form ID revised; interim.......................................14687
269.8 Revised; Form SE revised; interim............................14687
269.10 Added; Form TH added; interim...............................14687
270 Undesignated center heading added; interim.....................14859
Technical correction...........................................17327
Authority citation amended..............................19343, 49427
270.0-1 (b) amended; interim.......................................14859
270.0-2 (b) amended; interim.......................................14859
270.0-4 (d) revised; interim.......................................14860
270.0-9 Removed.....................................................7984
270.0-11 Removed; interim..........................................14860
270.2a3-1 Added....................................................45838
270.2a19-2 Added...................................................45838
(a)(3) corrected...............................................64353
270.8b-2 Introductory text revised; interim........................14860
270.8b-15 Amended; interim.........................................14860
270.8b-23 (a) revised; interim.....................................14860
270.8b-25 Existing text designated as (a) and amended; (b) added;
interim....................................................14860
270.8b-32 (a) amended; (c) added; interim..........................14860
270.10f-3 (h) revised..............................................49921
270.12d3-1 Revised.................................................49427
270.17a-7 (e)(2) revised...........................................49921
270.17e-1 (b) revised..............................................49921
270.17f-4 (b), (c)(3) and (d)(5) revised...........................49922
270.20a-4 Added; interim...........................................14860

[[Page 29]]

270.22c-1 (b)(1) revised; (d) added................................49922
270.23c-3 Added....................................................19343
270.23c-3 (b)(2)(iii) corrected....................................29695
270.24b-2 Amended; interim.........................................14860
270.34b-1 Revised..................................................19055
(b)(2) corrected...............................................21927
270.45a-1 (b) amended; interim.....................................14860
274 Technical correction...........................................17327
274.5 Form N-5 amended; interim....................................14862
274.11 Form N-1 amended; interim...................................14861
274.11A Form N-1A amended; interim; eff. 11-1-93...................14861
Form N-1A amended.................................19056--19058,
49922
274.11a-1 Form N-2 amended; interim; eff. 11-1-93..................14861
Form N-2 amended...............................................19346
274.11b Form N-3 amended; interim; eff. 11-1-93....................14861
Form N-3 amended; final........................................49922
274.11c Form N-4 amended; interim; eff. 11-1-93....................14862
274.101 Form N-SAR amended; interim; eff. 11-1-93..................14861
274.221 Added......................................................19345
274.401 Regulation at 57 FR 18221 confirmed........................14659
274.402 Regulation at 57 FR 18221 confirmed........................14659
274.403 Revised; interim...........................................14861
274.404 Added; interim.............................................14861
276 Interpretive releases.............................................11

1994

17 CFR
59 FR
Page
Chapter I
1 Authority citation revised........................................5525
Fee schedule...................................................11544
1.3 (y)(viii) amended...............................................5525
1.10 (b)(3) amended.................................................5525
1.12 (g) redesignated as (h); new (g) added; (a)(1), (b)(3), (e)
and new (h)(2) amended.....................................66688
1.14 Added.........................................................66688
1.15 Added.........................................................66690
1.17 (a)(2)(i) amended..............................................5525
1.35 (g) amended....................................................5525
1.39 (c) amended....................................................5525
1.41 (b) introductory text, (c)(1), (d)(2), (h), (o)(1)(ii),
(p)(2)(ii), (3) and (q) revised; (l)(1)(iii) redesignated
as (l)(1)(iv); new (l)(1)(iii) added........................2289
(a)(5), (b), (c)(1), (2), (d)(2), (3), (4), (f), (h)(2),
(i)(2), (j)(2), (k)(2), (l)(2), (m)(2), (n)(2), (o)(2), (p)(3),
(q)(3), (r)(3), (s)(2) and (t)(2) amended...........................5525
1.41a (a)(5) revised................................................2290
(a)(1) and (2) amended..........................................5525
(a)(3), (4) and (5) amended.....................................5526
1.41b (a) and (b) amended...........................................5526
1.46 (d)(1) amended.................................................5526
1.50 (a) and (b) amended............................................5526
1.51 (a) amended....................................................5526
1.52 (i) amended....................................................5526
1.53 Amended........................................................5526
1.55 (c) revised, Appendix A added.................................34380
(c) Appendix A amended.........................................38119
1.61 (a)(1), (b)(1), (f) and (i) amended............................5526
1.62 (a)(1) and (2) corrected.......................................5700
1.64 (b) introductory text corrected................................5082
3 Authority citation revised, Appendix A amended....................5315
3.40--3.47 (Subpart B)
Authority citation removed.........................................5315
3.50--3.64 (Subpart C)
Authority citation removed.........................................5315
3.70 (Subpart D) Authority citation removed.........................5315
3.75 (Subpart E) Authority citation removed; (d) amended............5315
4 Authority citation correctly revised..............................5082
5 Fee schedule.....................................................11544
5.2 (b) and (c)(1) amended..........................................5316
5 Appendix A amended..........................................2291, 5316
7 Authority citation revised........................................5316
9 Technical correction.............................................10228
9.1 (b)(1) amended..................................................5701
9.25 Amended........................................................5701
10.1 (a) corrected; (b), (c) and (d) amended........................5701
10.3 (d) amended....................................................5701
11 Authority citation revised.......................................5702
11.1 Amended........................................................5702
12 Authority citation revised.......................................9635
12.1 (c) amended; eff. 5-2-94.......................................9635
12.2 Revised; eff. 5-2-94...........................................9635
12.6 (b) amended; eff. 5-2-94.......................................9636

[[Page 30]]

12.7 (b) introductory text and (c)(3) amended; eff. 5-2-94..........9636
12.10 (a)(1) and (3) amended; eff. 5-2-94...........................9636
12.13 (a) and (b)(2) amended; (b)(1)(v) and (viii) revised; eff.
5-2-94......................................................9636
12.16 Revised; eff. 5-2-94..........................................9636
12.18 (a)(7) revised; eff. 5-2-94...................................9637
12.25 (a)(1), (2), (3), (b)(1), (2) and (c) amended; eff. 5-2-94
9637
12.26 (a), (b) and (c) amended; eff. 5-2-94.........................9637
12.30 (d) amended; eff. 5-2-94......................................9637
12.106 (c) amended; eff. 5-2-94.....................................9637
12.201 (g) revised; eff. 5-2-94.....................................9637
12.204 (a) and (b) amended; eff. 5-2-94.............................9637
12.208 (b) revised; eff. 5-2-94.....................................9637
12.209 Revised; eff. 5-2-94.........................................9637
12.210 (a) and (b)(4) amended; eff. 5-2-94..........................9638
12.314 (b)(4) amended; eff. 5-2-94..................................9638
12.315 Amended; heading revised; eff. 5-2-94........................9638
12.404 Amended; eff. 5-2-94.........................................9638
12.408 Heading revised; introductory text and (b) amended; eff. 5-
2-94........................................................9638
15.03 Revised......................................................66162
19 Authority citation revised.......................................5702
21 Authority citation revised.......................................5702
21.03 (h) amended...................................................5702
Regulation at 59 FR 5702 eff. date corrected to 2-8-94.........10228
30 Authority citation revised.......................................5703
Appendix B amended.........................1917, 22972, 27234, 62316
Appendix B amended; eff. 4-4-94................................10282
Appendix C amended.............................................22506
Appendix A amended.............................................42158
30.2 (a) amended....................................................5703
31 Fee schedule....................................................11544
31.5 (d) amended....................................................5703
32 Authority citation revised.......................................5703
32.1 (b)(2) amended.................................................5703
32.3 (c) amended....................................................5703
33 Authority citation revised.......................................5526
33.2 (a)(2) amended.................................................5526
33.3 (b)(1)(ii)(A) amended..........................................5526
33.4 Introductory text, (a)(3) and (4) amended......................5526
33.7 (a)(1)(i) revised.............................................34381
100 Authority citation revised......................................5527
140 Authority citation revised......................................5527
143 Authority citation revised......................................5527
Authority citation corrected...................................10228
145 Appendix A amended..............................................5528
148.3 (a) amended...................................................5528
150.6 Amended.......................................................5528
155.2 Introductory text amended.....................................5528
156 Authority citation corrected....................................5704
Regulation at 59 FR 5704 eff. dated corrected to 2-8-94........10228
166 Authority citation revised......................................5529
180.3 (c) amended...................................................5529
190 Authority citation revised......................................5704
Authority citation corrected...................................10228
190.01 (kk)(2)(ii) amended..........................................5704
190.05 (b) amended..................................................5704
190.08 Introductory text revised...................................17471
190.10 (c)(1) revised..............................................34382
190 Appendix designated as Appendix A and amended; Appendix B
added......................................................17471
Chapter II
200 Authority citation amended.....................................52695
200.1--200.30-16 (Subpart A) Authority citation revised.............5943
200.11 Heading, (a)(2) and (b) revised; (c) added...................5943
(b) corrected..................................................12543
200.12 Amended......................................................5943
200.27 Amended; heading revised.....................................5943
200.27a Added.......................................................5943
200.30-1 (g)(2) amended.............................................5943
200.30-3 Regulation at 58 FR 52902 eff. date delayed to 6-7-95.....59137
(a)(56) added..................................................63660
(a)(57), (58) and (59) added...................................66700
200.30-4 (a)(10) added.............................................23794
(b-2) introductory text and (1) revised; (b-3) and (b-4)
redesignated as (b-4) and (b-5); new (b-3) added...................43464
(a)(5) and authority citation removed..........................52695
200.30-5 (i)(1) amended.............................................5943
200.30-6 Heading and (a) introductory text amended..................5943
200.30-6a Added.....................................................5943
200.30-11 (c)(2) amended............................................5944
200.30-14 (g)(1) introductory text, (2), (5) and (h) revised.......39680

[[Page 31]]

200.30-16 Introductory text amended; (b) removed; (c) and (d)
redesignated as (b) and (c); new (b) and new (c) revised
39681
200.41 (a) revised.................................................53936
200.42 (b)(2) redesignated as (b)(3); new (b)(2) added.............53936
200.80 (c)(1)(ii), (iii), (2), (d)(7)(i), (e) introductory text
and (7)(iii) amended........................................5944
(c)(1)(iii) corrected..........................................12543
200.90--200.104 (Subpart E) Removed.................................5944
200.202 (a) amended.................................................5944
200.203 (c)(1)(vi) amended; (c)(1)(vii) added.......................5944
200.204 Amended.....................................................5945
200.303 (a)(2) and (b)(2) amended...................................5945
(a)(2) corrected...............................................12543
200.309 (a)(1) amended..............................................5945
200.735-1--200.735-16 (Subpart M) Authority citation revised.......43464
200.735-5 (e)(1)(ii) amended.......................................43464
202.2 Amended.......................................................5945
202.3 (a) amended...................................................5945
202.5 (c) amended...................................................5945
202.7 (a) amended...................................................5945
203.2 Amended.......................................................5945
203.7 (a) amended...................................................5945
210 Authority citation revised.....................................65631
210.1-02 (l) through (aa) redesignated as (m) through (bb); new
(l) added..................................................65636
210.3-05 (b)(1) introductory text amended; (c) added...............65636
210.3-09 (a) and (b) amended; (d) added............................65636
210.3-12 (f) amended...............................................65636
210.3-20 Revised...................................................65631
210.4-08 (g) revised...............................................65636
210.5-02 (b) amended...............................................65636
210.5-04 (a) revised; (c) amended..................................65636
210.6-07 Amended...................................................65636
210.6-10 Amended...................................................65636
210.7-05 (a) revised; (c) amended..................................65637
210.9-07 Removed...................................................65637
210.12-01 Revised..................................................65637
210.12-02 Removed..................................................65637
210.12-03 Removed..................................................65637
210.12-05 Removed..................................................65637
210.12-06 Removed..................................................65637
210.12-07 Removed..................................................65637
210.12-08 Removed..................................................65637
210.12-10 Removed..................................................65637
210.12-11 Removed..................................................65637
211 Interpretive releases..........................................12758
Interpretive releases..........................................26109
228.601 (c)(1)(ii) revised; (c)(2)(iv) added.......................36260
Table, (b)(4)(iii), (10) and (25)(ii) amended; (b)(28)(iv),
(99)(ii) and (c)(1)(ii) note revised; (c)(1)(vi) note redesignated
as (c)(1)(vi) Note 1; (c)(1)(vi) Note 2 added......................67759
229.401 (e) amended; authority citation removed....................52695
229.404 (b) amended................................................65637
229.512 (a)(1)(iii) amended; (a)(4) revised........................21649
229.601 (c)(1)(ii) revised; (c)(2)(iv) added.......................36260
(b)(21)(ii) amended............................................65637
Table, (b)(4), (10) and (25)(ii) amended; (b)(99)(iii),
(c)(1)(ii) note and (c)(3)(ii) revised; (c)(1)(vi) note
redesignated as (c)(1)(vi) Note 1; (c)(1)(vi) Note 2 added.........67760
229.901 (c) revised................................................63682
229.911 (a)(2)(vi) amended; (a)(2)(vii) added; (b) revised.........63683
230.135 (a)(6) revised.............................................21649
230.135c Added.....................................................21649
230.139 Authority citation removed.................................21649
(a) redesignated as (a)(1); (a)(2) added.......................21650
230.405 Amended....................................................67761
230.416 (a)(1)(ix) and (x) amended; (a)(1)(xi) added...............43470
230.445 (b) amended.................................................5945
230.457 (o) revised................................................21650
230.462 Revised....................................................21650
230.475a Revised...................................................21650
230.477 Authority citation removed.................................21649
(b) revised....................................................21650
230.483 (e)(3)(iii) added; (e)(4) revised..........................36261
(e)(1)(iv) note redesignated as (e)(1)(iv) Note 1; (e)(1)(iv)
Note 2 added.......................................................67761
230.485 Revised....................................................43464
230.486 Revised....................................................43464
230.487 (c) revised................................................43465
230.488 (c)(2) removed; (c)(1) redesignated as (c).................67761
230.502 (c) revised................................................21650

[[Page 32]]

230.902 (b)(7) added...............................................21650
231 Interpretive releases..........................................12758
Interpretive releases..........................................26109
232.12 (b) amended.................................................67761
232.13 (d) added...................................................67761
232.101 (a)(1)(i), (iii), (c) heading, (2), (3), (8) and (10)
revised; (b)(3), (4), (5) and (c)(18) through (21) added;
(c)(16) amended............................................67761
232.102 (a) and (e) revised........................................67762
232.301 Revised......................................36263, 49573, 68068
232.302 (b) revised; (c) added.....................................67762
232.303 (a)(3) and (4) added.......................................67762
232.304 (a) and (d) revised........................................67762
232.306 (a) note amended...........................................67762
232.311 (b), (c), (d) revised; (e), (f), (g) and (h)(2) amended....67763
232.901 (a) note and (c)(4) note added; (d) heading, introductory
text and (2) revised.......................................67763
232.902 (a) note added; (e), (g) heading, introductory text and
(2) revised................................................67763
239.0-1 (b) amended.................................................5945
239.11 Form S-1 amended............................................63683
239.14 Form N-2 amended.....................................43468, 52702
Form N-2 amended; authority citation removed...................52701
239.15A Form N-1A amended..........................................43468
Form N-1A corrected............................................48799
Form N-1A amended; authority citation removed..................52701
239.16 Form S-6 amended.....................................43468, 67763
Form S-6 corrected.............................................48799
239.17a Form N-3 amended.............................43468, 52702, 52703
Form N-3 corrected.............................................48799
239.17b Form N-4 amended...........................................43468
Form N-4 corrected.............................................48799
239.18 Form S-11 amended...........................................63683
239.23 Form N-14 amended...........................................52695
239.25 Form S-4 amended............................................63683
239.31 Form F-1 amended.....................................21650, 63683
239.32 (b)(2), (d), (g) and Form F-2 amended.......................21651
239.33 (a)(4) removed; (a)(5), (6) and (7) redesignated as (a)(4),
(5) and (6); (a) introductory text, (1), (2), new (5) and
(b)(1) through (4) revised; new (a)(5)(iii) note and Form
F-3 amended................................................21652
Form F-3 amended........................................21653, 21654
Corrected......................................................25811
239.34 Form F-4 amended..............................21654, 21655, 63683
239.39 (a)(2) and Form F-9 amended...................................243
239.64 Form SE amended.............................................67766
239.65 Form TH amended.............................................67767
240 Authority citation amended.......................10985, 55012, 66709
Phase-in period extended.......................................42448
240.3a12-8 (a)(1)(xiii) and (xiv) amended; (a)(1)(xv) added........54815
240.3a12-11 Added..................................................55347
240.3b-11 Added....................................................63684
240.6a-2 (a)(1) amended; (a)(3) and (b) revised....................66700
240.10b-10 (a)(7)(iii) redesignated as (a)(7)(iv); new (a)(7)(iii)
and (e)(9) added; (a)(8) revised; eff. 4-3-95..............55012
(c) removed; (d), (e) and (f) redesignated as (c), (d) and
(e); note, new (d) heading and (10) added; (a), (b), new (d)
introductory text and (6) introductory text revised; eff. 4-3-95
59620
(a)(2)(ii)(A) corrected........................................60555
240.10b-21 Redesignated from 240.10b-21(T).........................10985
240.10b-21(T) Redesignated as 240.10b-21...........................10985
240.11Ac1-3 Added; eff. 4-3-95.....................................55012
240.12b-7 Amended..................................................55347
240.12b-15 Amended.................................................67764
240.12b-25 (e)(2) amended..........................................67764
240.12d1-2 Heading revised; existing text designated as (a); (b)
added......................................................55347
240.13d-2 (c) revised; note amended................................67764
240.14a-2 Heading and introductory text revised; (a) introductory
text, (b) introductory text, (2) and (3) amended; (b)(4)
added......................................................63684
240.14a-3 (b) introductory text and (e)(2) revised; (b)(1)
amended; (b)(12) removed...................................52696
240.14a-4 (a)(3) note added........................................67764
240.14a-6 (i) introductory text revised............................52696
(n) added......................................................63684
(m) amended....................................................67764
240.14a-7 (b) revised..............................................63684
240.14a-15 Added...................................................63684
240.14a-101 Amended.........................................52696, 67764
240.14a-104 Added..................................................63685

[[Page 33]]

240.14c-3 (a) introductory text revised; (a)(2) removed............52700
(b) note removed...............................................67765
240.14c-5 (h) amended..............................................67765
240.14c-101 Amended................................................67765
240.14e-1 (e) amended..............................................67765
240.14e-7 Added....................................................63685
240.15Aj-1 (c)(1) revised..........................................66700
240.15c2-12 (c) through (f) redesignated as (d) through (g); note,
(b)(5), new (c), (f)(9) and (10) added; (a), new (d), new
(e) and new (f)(3) revised; new (g) amended; eff. in part
7-3-95 and in part 1-1-96..................................59609
240.15c3-1 (a)(6)(iv) introductory text, (v), (7)(iv),
(c)(2)(x)(B)(1)(ii), (F)(3), (c)(12) and (e)(1)(iv)
amended.....................................................5945
240.15c3-1d (c)(6)(i) and (ii) amended..............................5946
240.15c6-1 Regulation at 58 FR 52903 eff. date delayed to 6-7-95
59137
240.17a-3 (b)(2) amended............................................5945
240.17a-5 (a)(3), (b)(1), (c)(1) introductory text, (2)(iii),
(iv), (d)(1)(i), (6), (e)(4) introductory text, (f)(2)(i),
(4) introductory text and (m)(1) amended....................5945
240.17a-7 (b)(1) and (2) amended....................................5945
240.17a-11 (g) amended..............................................5945
240.17a-21 (a)(4) revised..........................................66701
240.17a-23 Added; eff. 6-1-95......................................66709
240.17Ad-2 (h)(1) amended...........................................5946
240.17Ad-16 Added..................................................63661
240.19b-4 (e) revised..............................................66701
241 Interpretive releases...................................12758, 26109
249.0-1 (b) amended.................................................5946
249.208a (c) added; Form 8-A amended...............................55347
Form 8-A amended...............................................67765
249.220f Form 20-F amended....................21656, 65632, 65637, 65640
249.308 Form 8-K amended...........................................67765
249.310 Heading revised; section amended; Form 10-K amended........67765
249.310b Form 10-KSB amended.......................................67765
249.311 Form 11-K amended..........................................67765
249.322 Form 12b-25 amended........................................67766
249.444 Form SE amended............................................67766
249.447 Form TH amended............................................67767
249.636 Added; Form 17A-23 added; eff. 6-1-95......................66710
249.803 Form X-15AJ-2 amended......................................66701
249.819 Form 19b-4 amended..................................66701, 66702
249b.100 Footnote amended...........................................5946
249b.102 Footnote amended...........................................5946
249b.200 Footnote amended...........................................5946
250 Comment request................................................55573
250.7 (a) revised; (b)(2)(i) and (3)(i) amended; authority
citation removed...........................................21927
250.26 (b)(2) amended; authority citation removed..................21927
250.27 (a) amended.................................................21927
250.29 Revised.....................................................21927
250.40 (a)(5) revised..............................................21927
250.41 (c) revised.................................................21928
250.42 Revised.....................................................21928
250.43 (b) revised.................................................21928
250.44 (b) revised.................................................21928
250.49 (c) amended.................................................21928
250.50 Removed.....................................................21928
250.52 (c) amended.................................................21928
250.62 (d)(2) and (3) amended......................................21928
250.63 Amended.....................................................21928
250.65 (b)(2) revised..............................................21928
250.71 Heading and (b) revised.....................................21928
250.111 Removed....................................................67766
259.0-1 (b) amended.................................................5946
259.5b Form U5B amended............................................67766
259.5s Form U5S amended.....................................21928, 67766
259.101 Form U-1 amended...........................................67766
259.212a Form U-12(I)-A amended....................................21929
259.212b Form U-12(I)-B amended....................................21929
259.313 Form U-13-60 amended.......................................36262
259.603 Form SE amended............................................67766
259.604 Form TH amended............................................67767
269.0-1 (b) amended.................................................5946
260.0-12 Removed...................................................67766
269.8 Form SE amended..............................................67766
269.10 Form TH amended.............................................67767
270.2a19-2 (a)(4) corrected........................................15501
270.6e-3(T) Amended................................................43467
270.20a-1 (a) amended; (c) removed.................................52700
270.20a-2 Removed..................................................52700
270.20a-3 Removed..................................................52700
270.20a-4 Removed..................................................52700
270.30d-1 (b), (c) and (d) redesignated as (c), (d) and (e); new
(b) added..................................................52700
274 Authority citation revised..............................43467, 52701

[[Page 34]]

274.0-1 (b) amended.................................................5946
274.11 Authority citation removed..................................52701
274.11A Form N-1A amended..........................................43468
Form N-1A corrected............................................48799
Form N-1A amended; authority citation removed..................52701
274.11a-1 Form N-2 amended...........................43468, 52701, 52702
Authority citation removed.....................................52701
274.11b Form N-3 amended.............................43468, 52702, 52703
Form N-3 corrected.............................................48799
274.11c Form N-4 amended...........................................43468
Form N-4 corrected.............................................48799
274.51 Authority citation removed..................................52701
274.101 Authority citation removed.................................52701
274.403 Form SE amended............................................67766
274.404 Form TH amended............................................67767
275 Authority citation amended.....................................21661
275.204-1 (b)(1) revised...........................................21661
275.204-3 (f) redesignated as (g); new (f) and (g)(4) added........21661
275.204-2 (j)(3)(i) and (ii) amended................................5946
279.0-1 (b) amended.................................................5946
279.1 Form ADV amended.............................................21662
Form ADV corrected.............................................27659
Chapter IV
402 Authority citation revised.....................................53731
402.2d (j) amended.................................................53731
403 Authority citation revised......................................9405
403.1 Revised; eff. 4-29-94.........................................9405
403.4 (g) revised; (l) added; eff. 4-29-94..........................9406
403.5 (g) redesignated as (h); (c)(1)(iii) and new (h) revised;
new (g) added; eff. 4-29-94.................................9406
405 Authority citation revised.....................................53731
405.3 (a)(4) and (5) removed; (a)(6), (7), (8) and (c)(5)
redesignated as (a)(4), (5), (6) and (c)(6); heading, new
(a)(5) and new (c)(6) revised; new (c)(5) and (7) added;
OMB number.................................................53731
(c)(5) corrected...............................................55910

1995

17 CFR
60 FR
Page
Chapter I
1 Fee schedule.....................................................25988
Technical correction...........................................50244
1.15 (a)(1) introductory text and (4) correctly revised............13901
1.55 (a)(1)(iii) added.............................................38182
1.62 (b) amended...................................................49334
1.65 (d) amended...................................................49334
1.66 (b)(2), (3) and (5)(ii) amended...............................54801
1.70 (a), (b) and (d) amended; (c) revised.........................49334
1 Appendix B amended...............................................49334
3.33 (e) amended...................................................49334
3.34 (b)(3) and (4) revised; (b)(5) added..........................63912
3.50 (c) amended...................................................49334
(d) amended....................................................54801
3.55 (b), (c) and (e)(2) amended...................................54801
3.56 (b)(3), (c) and (e)(2) amended................................54801
3.60 (b) introductory text, (2)(ii), (c) introductory text,
(d)(3), (h)(4) and (5)(i) amended..........................54801
3.64 (a), (b)(1), (2) and (d) amended..............................54801
3.70 (a) amended...................................................49334
4 Technical correction.............................................50244
4.2 (a) amended....................................................49334
4.7 (a)(2)(i)(A), (4), (b)(2)(i)(A) and (4) amended................38182
4.8 Heading, (a) and (b) amended...................................38182
4.10 (d) redesignated as (d)(1); (d)(2) through (5) and (h)
through (l) added; (e) revised.............................38182
4.12 (b)(2)(i) and (5)(i) revised..................................38183
4.21 Revised.......................................................38183
4.23 (a)(3) revised................................................38183
4.24 Added.........................................................38183
4.25 Added.........................................................38186
4.26 Added.........................................................38188
4.31 Revised.......................................................38189
4.32 Redesignated as 4.33..........................................38189
4.33 Redesignated from 4.32; (a)(2) revised........................38189
4.34 Added.........................................................38189
4.35 Added.........................................................38191
4.36 Added.........................................................38192
4.41 (b)(1) revised................................................38192
5 Fee schedule.....................................................25988
5 Appendixes B and C amended.......................................49334
9.4 (a) amended....................................................49334
9.9 (b)(1) introductory text, (3) and (4) amended..................54801
9.11 (c) amended...................................................49334
10.2 (i) revised...................................................54801

[[Page 35]]

10.4 Amended.......................................................54801
10.7 Amended.......................................................54801
10.10 (a)(1)(iii) revised; (a)(1)(iv) amended......................54801
10.12 (a)(3), (b), (e)(1), (2), (5), (6) and (f)(1) amended; (d)
and (g) revised............................................54802
10.22 (b) amended..................................................54802
10.23 (a) amended..................................................54802
10.26 (a) introductory text amended................................54802
10.42 (c)(1) amended...............................................54802
10.44 (d)(2)(ii) and (f)(1) amended................................54802
10.65 (b) amended..................................................54802
10.68 (a)(1) and (b)(3) amended....................................54802
10.81 Amended......................................................54802
10.83 Amended......................................................54802
10.84 (b) and (c) concluding text amended..........................54802
10.92 (a), (b)(2) and (3) amended..................................54802
10.102 (a) and (c) amended.........................................54802
10.103 (a) amended.................................................54802
10.105 Amended.....................................................54802
10.108 (d) amended.................................................54802
10.109 Introductory text, (a)(2)(ii), (b) and (c) amended..........54802
11.2 (a) amended...................................................54802
11 Appendix A amended..............................................49334
12.3 Amended.......................................................49335
12.10 (a)(2) amended...............................................49335
12.13 (b)(3) amended...............................................49335
12.18 (e) amended..................................................49335
13.2 Amended.......................................................49335
14.9 Amended.......................................................49335
15.05 (d) amended..................................................49335
21.02 a(c) amended.................................................54802
30 Technical correction............................................50244
30.6 (b)(1) and (2) revised........................................38193
30 Appendix B amended.........................19494, 34459, 41803, 65237
Appendixes B and C amended.....................................30466
31 Fee schedule....................................................25988
31 Appendix A amended..............................................49335
36 Added...........................................................51342
Technical correction...........................................56093
140.1 (a) amended..................................................49335
140.91 (a)(3) and (4) redesignated (a)(5) and (6); new (a)(3) and
new (4) added...............................................8195
144.1 (b) amended..................................................49335
145.6 (a) amended..................................................49335
145 Appendixes A and D amended; Appendix C removed.................49335
146.3 (a) amended..................................................49335
146.4 (b) amended..................................................49335
146.5 (f) amended..................................................49335
146.6 (d) amended..................................................49335
146.8 (a) and (d) amended..........................................49335
146.9 (c) amended..................................................49336
146.11 (b) amended.................................................49336
146 Appendix A amended.............................................49336
147.4 (d)(1) revised...............................................49336
147.5 (h) and (i) amended..........................................49336
147.6 (c) amended..................................................49336
147.8 (a) amended..................................................49336
147.9 (b) amended..................................................49336
148.30 Amended.....................................................49336
149.170 (c) amended................................................49336
150 Technical correction...........................................50244
150.3 (a)(4)(i)(D) revised.........................................38193
155.5 (d)(1) amended...............................................49336
170.11 (a) amended.................................................49336
171.3 Amended......................................................49336
171.8 (a) and (b) amended..........................................49336
190.10 (a) amended.................................................49336
Chapter II
200.1 (a) amended..................................................14623
(j) revised....................................................32794
200.2 (b) through (e) and (g) revised..............................14624
200.12 Amended.....................................................14624
200.13 Revised.....................................................14624
200.13b Amended....................................................14625
200.14 Revised.....................................................14625
200.16 Amended.....................................................32794
200.16a Revised....................................................14625
200.17 Revised.....................................................14625
200.18 (b)(3) and (5) amended......................................14625
200.19a Introductory text revised..................................14625
200.19b Revised....................................................14626
200.19c Added......................................................39644
200.20b Introductory text amended; (f) revised; (g) removed........14626
200.20c Amended....................................................14626
200.21 (b)(2) amended..............................................14626
200.21a Revised....................................................14626
200.22 Revised.....................................................14626
200.23a Revised....................................................14627
200.23b Removed....................................................14627
200.24 Amended.....................................................14627
200.24a Revised....................................................14627
200.25 Revised.....................................................14627
200.26 Removed.....................................................14627
200.26a Amended....................................................14627
200.27 Amended.....................................................14627
200.30-1 (e)(2), (6), (f)(4), (8), (12) and (g)(2) revised.........14627
200.30-3 (f) revised...................................................6

[[Page 36]]

(a)(21), (22), (32), (35)(i), (39) introductory text, (ii) and
(42) revised; (a)(35) introductory text added......................14628
(a)(60) added..................................................28718
200.30-4 (a)(5) amended............................................32794
200.30-4 (a)(2) revised............................................14628
200.30-5 (f)(1)(xxiv) and (xxv) added; (f)(5), (g) and (h)
removed; (f)(6) through (f)(9) and (i) through (n)
redesignated as (f)(5) through (8) and (g) through (l);
(a)(1), (2), (b), (d), (e)(3), (4) and (g)(1) revised;.....14628
Corrected......................................................15674
200.30-6 (a) introductory text revised.............................14628
200.30-7 (a)(1) through (5) and (9) amended; (a)(10) added.........32794
(a)(4) revised.................................................14629
200.30-9 Revised............................................14629, 32794
200.30-10 (a)(6) removed; (a)(7) and (8) redesignated as (a)(6)
and (7); (a)(1) through (5) and new (6) amended............32794
200.30-11 Heading, introductory text, (a), (b) and (d) revised.....14629
200.30-12 Removed..................................................14630
200.30-13 Amended..................................................14630
200.30-14 (a) and (b) amended......................................14630
(g)(1) introductory text, (2) and (4) through (7) revised;
(g)(1)(x) through (xiv) added......................................32794
200.30-15 Revised..................................................14630
200.30-18 Added....................................................39644
200.40--200.42 (Subpart B) Authority citation revised..............17202
200.40 Revised.....................................................17202
200.41 Redesignated as 200.42; new 200.41 added....................17202
200.42 Redesignated as 200.43; new 200.42 redesignated from
200.41; (a) and (b) amended................................17202
200.43 Redesignated from 200.42; (c)(1) amended....................17202
(a)(1)(iii) amended............................................32795
Corrected......................................................62295
200.80--200.83 (Subpart D) Authority citation revised..............50091
200.80f Revised....................................................50091
200.110--200.114 (Subpart F) Authority citation revised............32795
200.111 (d)(1)(i) and (2) amended..................................32795
200.301--200.313 (Subpart H) Authority citation amended............32795
200.312 (a)(8) amended.............................................32795
200.401 (a) amended................................................17202
200.550--200.554 (Subpart K) Authority citation revised............32795
200.554 (a) amended................................................32795
200.735-5 (k) revised..............................................52626
200.735-13 (c) amended.............................................32795
201 Authority citation removed.....................................32795
201.1--201.29 (Subpart A) Removed..................................32795
201.31--201.60 (Subpart B) Authority citation revised..............32795
201.42 (b) amended.................................................32795
201.54 Amended.....................................................32795
201.57 Amended.....................................................32795
201.60 Removed.....................................................32795
201.61--201.68 (Subpart C) Authority citation revised..............32795
201.100--201.900 (Subpart D) Added.................................32796
201.100 (b)(2) corrected...........................................46499
201.230 (a)(1)(vi) correctly revised...............................46499
201.430 (a) and (c) corrected......................................46500
201.431 (a) corrected..............................................46500
202.3a Introductory text amended...................................26613
202.8 Removed......................................................32823
203.3 Amended......................................................32823
203.7 (b) amended..................................................32823
203.8 Amended......................................................32823
209 Added..........................................................32823
210.6-07 Amended...................................................38923
211 Staff Accounting Bulletin No. 94 added.........................20022
Staff Accounting Bulletin No. 94 corrected.....................24968
Staff Accounting Bulletin No. 95 added.........................66072
228.10 (f) added...................................................32824
228.501 (a)(4) revised.............................................26613
228.502 Introductory text and (f) revised; (a)(1) heading removed;
(a)(1), (b) and (c) amended................................26613
228.503 (b) and (c) revised........................................26613
228.512 (a)(1)(ii) amended.........................................26614
228.601 (b)(24) amended............................................26614
229.10 (d) added...................................................32824
229.501 (c)(4) revised.............................................26614
229.502 Introductory text, (a) introductory text and (g) revised;
(b), (c) and (f) introductory text amended.................26614

[[Page 37]]

229.503 (b) and (c) revised; authority citation removed............26614
229.512 (a)(1)(ii) revised.........................................26615
229.601 (b)(24) amended............................................26615
229.801 Guide amended..............................................26615
230 Authority citation amended.....................................26615
230.110 (a) amended; (d) added.....................................26615
230.111 Existing text designated as (a); (b) added.................26615
230.138 Revised.....................................................6965
230.139 Introductory text and (a)(2) revised........................6966
230.402 (d) and (e) added..........................................26615
230.406 (e), (g), (h)(1) and (2) amended...........................32824
(b)(1) and (3) revised.........................................47692
230.411 (b)(4) and (c) amended.....................................32824
230.424 (b)(7) amended.............................................26615
230.429 Authority citation removed.................................26615
(b) amended....................................................26616
230.430A (a)(3) and Instruction amended............................26616
230.434 Added......................................................26616
230.439 Authority citation removed.................................26615
Existing text designated as (a); (b) added.....................26617
230.455 Amended....................................................26617
230.457 (o) revised................................................26617
230.461 Authority citation removed.................................26615
(a) amended....................................................26617
230.462 Heading revised; existing text designated as (a); (b) and
(c) added..................................................26617
230.472 (e) added..................................................26618
230.483 (b) amended; (c) redesignated as (c)(1); (c)(2) added......26618
230.497 (h) redesignated as (h)(1); (h)(2) added...................26618
231 Table amended..................................................35666
Interpretive releases..........................................53467
232.13 (a)(3) added................................................26618
232.101 (c)(13) amended............................................32824
(c)(7) removed; (b)(4), (5) and (c)(8) through (21)
redesignated as (b)(7), (8) and (c)(7) through (20); (a)(1)(iv),
(b)(2), new (c)(8) and new (13) revised; new (b)(4), new (5) and
(6) added..........................................................57684
232.102 (a) amended................................................32824
232.301 Revised.............................................27692, 57684
239.9 Form SB-1 amended............................................26618
239.10 Form SB-2 amended...........................................26618
239.11 Form S-1 amended............................................26619
239.12 Form S-2 amended............................................26619
239.13 Form S-3 amended............................................26620
239.14 Form N-2 amended.....................................26623, 38924
239.15A Form N-1A amended; eff. 4-3-95.............................11886
239.15A Form N-1A amended...................................38923, 38924
239.17a Form N-3 amended...........................................38924
239.17b Form N-4 amended...........................................38925
239.18 Form S-11 amended...........................................26620
239.23 Form N-14 amended; eff. 4-3-95..............................11887
239.31 Form F-1 amended............................................26620
239.32 Form F-2 amended............................................26621
239.33 Form F-3 amended............................................26621
240 Technical correction............................................5461
Phase-in period extension......................................40994
240.3a12-8 (a)(1)(xiv) and (xv) amended; (a)(1)(xvi) added.........62326
240.10b-10 Regulation at 59 FR 55012 eff. date delayed to 10-2-95;
regulation at 59 FR 59620 eff. date in part postponed to
10-2-95....................................................14366
240.11Ac1-3 Regulation at 59 FR 55012 eff. date delayed to 10-2-95
14366
240.12b-11 (d) added...............................................26622
240.12b-23 (b) amended.............................................32825
240.12b-32 (a) amended.............................................32825
240.12f-1 (a)(5) and (6) redesignated as (a)(6) and (7); heading,
(a) introductory text and new (6) revised; new (a)(5)
added......................................................20896
240.12f-2 Revised..................................................20896
240.12f-3 (b) revised..............................................20896
240.12f-5 Added....................................................20896
240.12f-6 Removed..................................................20896
240.14a-101 Note D1 amended........................................32825
240.14d-1 (d) added................................................26622
240.15c2-8 (b), (c) and (d) amended; (j) added; authority citation
removed....................................................26622
240.15c6-1 (a) and (b) amended; (b)(2) removed; (b)(3)
redesignated as (b)(2); (c) and (d) added..................26622
240.16a-3 (i) added................................................26622
240.17a-23 Regulation at 59 FR 66702 eff. date delayed to 7-1-95
28717
240.19d-2 Revised..................................................32825
240.19d-3 Revised..................................................32825

[[Page 38]]

240.24b-2 (d)(2), (e)(1) and (2) amended...........................32825
(b)(2) redesignated in part as (b)(3); (b)(1) and new (3)
revised............................................................47692
241 Interpretive releases..........................................53467
249.27 Removed.....................................................20896
249.28 Removed.....................................................20896
249.208a Form 8-A corrected.........................................3079
250.22 (b)(1) amended..............................................32825
250.45 (b)(4) revised..............................................33639
250.52 Revised.....................................................33639
260.7a-29 (a) amended..............................................32825
270 Authority citation amended.....................................11889
270.0-4 (a) amended................................................32825
270.6c-10 Added; eff. 4-3-95.......................................11889
270.8b-11 (e) added................................................26622
270.8b-25 (b) amended..............................................14630
270.8b-32 (a) amended..............................................32825
270.12b-1 (g) added; eff. 4-3-95...................................11885
270.18f-3 Added; eff. 4-3-95.......................................11885
270.24e-2 (a)(1) amended...........................................47045
270.24f-1 (a) and (c) amended; authority citation removed..........47045
270.24f-2 (b)(1), (3) and (c) revised; (e) and (f) added;
authority citation removed.................................47045
271 Interpretive releases..........................................53467
274.11A Form N-1A amended; eff. 4-3-95.............................11886
Form N-1A amended.......................................38923, 38924
274.11a-1 Form N-2 amended..................................26623, 38924
274.11b Form N-3 amended...........................................38924
274.11c Form N-4 amended...........................................38925
274.24 Added.......................................................47046
275.0-6 (a) and note amended.......................................32825
Chapter IV
400.4 OMB number...................................................11026
400.5 OMB number...................................................11026
400.6 OMB number...................................................18734
401.9 OMB number...................................................11026
402 Authority citation revised.....................................11024
402.1 (d) and (e)(1) revised.......................................11024
402.2 (b), (c) and (i) revised; OMB number.........................11024
402.2e Added.......................................................11026
(a)(1) corrected...............................................12825
403.4 OMB number...................................................18734
403.5 OMB number...................................................11026
404 Authority citation revised..............................11026, 20399
404.2 (a)(4) revised; OMB number...................................11026
(b) and (c) redesignated as (c) and (d); new (b) added; new
(c) revised........................................................20399
404.3 OMB number...................................................11026
404.4 OMB number...................................................11026
404.5 OMB number...................................................11026
405 Authority citation revised.....................................20400
405.2 OMB number...................................................11026
405.3 OMB number...................................................18734
405.5 Added (OMB number)...........................................20401
449 Authority citation revised.....................................18735
449.3 Form G-FIN-4 amended.........................................18736
449.5 Form G-405 amended...........................................18734
450.4 OMB number...................................................11026

1996

17 CFR
61 FR
Page
Chapter I
1 Fee schedules....................................................19830
Clarification..................................................50431
1.12 (b)(2) amended; (b)(3) redesignated as (b)(4); new (b)(3),
(f)(4) and (5) added; (g) introductory text, (1) and (2)
revised....................................................19185
1.17 (e)(1)(ii), (h)(2)(vi)(C)(2), (vii)(A)(2), (B)(2),
(viii)(A)(2) and (3)(ii)(B) amended; (e)(1)(iii),
(h)(2)(vi)(C)(3), (vii)(A)(3), (B)(3), (viii)(A)(3),
(3)(ii)(C), (v)(C) and (D) redesignated as (e)(1)(iv),
(h)(2)(vi)(C)(4), (vii)(A)(4), (B)(4), (viii)(A)(4),
(B)(4), (viii)(A)(4), (3)(ii)(D), (v)(D) and (E); (a)(1),
(c)(5)(xiii), new (h)(2)(vii)(A)(4) and new (B)(4)
revised; new (e)(1)(iii), (h)(2)(vi)(C)(3), (vii)(A)(3),
(C), (viii)(3), (3)(ii)(C) and (v)(C) added................19186
1.35 (d)(7) revised................................................43001
1.58 Revised.......................................................19187
3 Technical correction.............................................26253
3.34 (b)(3)(ii) removed; (b)(3)(iii) introductory text and (A)(3)
revised....................................................20131
3 Appendix A amended...............................................58628
4 Interpretation...................................................42146
Comment period extension.......................................54731
Technical correction...........................................56271
Interpretation.................................................65940
5 Fee schedules....................................................19830
10.84 (b) amended..................................................21954
10.102 (e)(2) amended..............................................21954
11.2 (b) amended....................................................1709

[[Page 39]]

11.7 (a) amended....................................................1709
11 Appendix A amended...............................................1709
17.01 Revised; eff. 8-20-96.........................................6312
17.02 Introductory text and (b) revised; (c) added; eff. 8-20-96
6313
30.3 (a) revised...................................................10895
30 Appendix B amended.........................................1710, 2718
Appendix C amended.............................................64989
31 Fee schedules...................................................19830
33.4 (b)(6) removed.................................................2720
140.20 (a) amended.................................................21955
140.24 (a)(6) amended..............................................21955
140.72 (a) amended..................................................1709
140.73 Heading revised; (a) introductory text and (3) amended.......1709
140.735-8 (a)(3), (c)(2), (e) and (f) amended......................21955
143 Authority citation revised.....................................55566
143.1 Revised......................................................55566
143.8 Added........................................................55566
156.4 Added........................................................41498
Chapter II
200.30-4 (a)(11) added.............................................20721
200.30-5 (a)(8)(ii)(B) amended.....................................49011
200.30-7 (a)(3) corrected..........................................15338
200.30-7 (a)(9) and (10) amended; (a)(11) added.....................5939
(a)(3) and (4) corrected.......................................13689
200.30-7 Corrected..................................................1533
200.30-14 (k) added................................................56892
200.80 (c)(3) added................................................24654
201 Technical correction...........................................59930
201.1001 (Subpart E) Added.........................................57774
202.3a Introductory text amended...................................49959
210.3-16 Removed...................................................30401
210.4-05 Removed...................................................30401
210.4-06 Removed...................................................30401
210.4-10 (b) revised; (c) through (h) removed; (i) and (j)
redesignated as (c) and (d)................................30401
210.03-05 (a)(3) and (b) revised...................................54514
210.11-01 (b) and (c) revised......................................54514
211 Staff Accounting Bulletin No. 96 added.........................12020
211 Staff Accounting Bulletin No. 97 added.........................40721
228.310 (c) and (d)(1) revised; (d)(2) removed; (d)(3)
redesignated as (d)(2).....................................54515
228.405 (a) amended; (a)(1) and (2) revised........................30391
228.502 (a)(2) revised.............................................24654
228.601 (c)(1)(vi) Note 1 and Note 2 amended.......................24654
Table amended; (b)(7), (14) and (28) removed...................30401
228.701 (e) added..................................................54508
229.405 (a)(1) and (2) revised.....................................30391
229.501 (b) removed; (c) redesignated as (b); new (b)(8) amended
30401
229.502 (a)(2) revised.............................................24654
229.601 (c)(1)(vi) Note 1 and Note 2 amended.......................24654
Table amended; (b)(6), (7), (14) and (28) removed..............30401
229.701 (e) added..................................................54508
229.801 (a) removed................................................30401
229.802 (a) removed................................................30401
230.111 (a) amended................................................49959
230.120 Revised....................................................24654
230.134 (e) added; eff. 6-3-96.....................................13975
230.144 (a)(3)(iv) amended; (a)(3)(v) added........................21359
230.148 Removed....................................................30401
230.236 (a) and (c)(4) amended.....................................49959
230.252 (h)(2) revised.............................................30401
(f) removed....................................................49959
(e) revised; (h)(1) amended....................................67202
230.253 (b) redesignated as (b)(1); (b)(2) added...................24654
230.254 (b)(1) amended.............................................67202
230.255 (a)(1) amended.............................................67202
230.256 Introductory text amended..................................67202
230.257 Introductory text amended..................................67202
230.259 (a) amended................................................67202
230.300--230.346 Undesignated center heading removed...............30402
230.300 Removed....................................................30402
230.302 Removed....................................................30402
230.304 Removed....................................................30402
230.306 Removed....................................................30402
230.310 Removed....................................................30402
230.312 Removed....................................................30402
230.314 Removed....................................................30402
230.316 Removed....................................................30402
230.318 Removed....................................................30402
230.320 Removed....................................................30402
230.322 Removed....................................................30402
230.324 Removed....................................................30402
230.326 Removed....................................................30402
230.328 Removed....................................................30402
230.330 Removed....................................................30402
230.332 Removed....................................................30402
230.334 Removed....................................................30402
230.336 Removed....................................................30402
230.338 Removed....................................................30402
230.340 Removed....................................................30402

[[Page 40]]

230.342 Removed....................................................30402
230.344 Removed....................................................30402
230.346 Removed....................................................30402
230.402 (a) and (c) amended; (e) revised...........................30402
230.406 Note redesignated as Note 1; Note 2 added; (a) amended;
(j) removed................................................30402
230.420 Existing text designated as (a); (b) added.................24655
230.445--230.447 Undesignated center heading removed...............30402
230.445 Removed....................................................30402
230.446 Removed....................................................30402
230.447 Removed....................................................30402
230.464 Heading revised; introductory text and (b) amended.........30402
230.471 Existing text designated as (a); (b) added.................30402
230.472 (b) amended................................................30402
230.473 (c) and (d) amended........................................30402
230.481 (h) added..................................................24655
230.482 (a)(6) note added; (a)(7) note removed.....................24655
230.504 (b)(1) revised.............................................30402
230.604 (a) amended................................................49959
230.605 (c) redesignated as (c)(1); (c)(2) added...................24655
230.651 Undesignated center heading and section removed............30402
230.652 Removed....................................................30402
230.653 Removed....................................................30402
230.654 Removed....................................................30402
230.655 Removed....................................................30402
230.656 Removed....................................................30402
230.702(T) Removed.................................................30402
230.703(T) Removed.................................................30402
230.902 (a)(1) amended.............................................30402
230.1001 Undesignated center heading and section added.............21359
231 Interpretive releases..........................................24651
232.101 (c)(7) removed; (c)(8) through (20) redesignated as (c)(7)
through (19); eff. 5-5-97..................................67202
232.301 Revised....................................................52284
232.304 Heading, (a), (b)(1) and (c) revised.......................24655
232.311 (c) removed; (d) through (i) redesignated as (c) through
(h)........................................................30402
239.9 Form SB-1 amended............................................67202
239.10 Form SB-2 amended...........................................67202
239.11b Form N-3 amended; eff. 6-3-96..............................13984
239.14 Form N-2 amended.....................................24658, 49961
239.15A Form N-1A amended; eff. 6-3-96.............................13983
239.15A Form N-1A amended.....................24657, 49016, 49017, 49961
239.17a Form N-3 amended; eff. 6-3-96.......................13983, 13984
239.17a Form N-3 amended....................................24658, 49961
239.17b Form N-4 amended....................................24658, 49961
239.23 Form N-14 amended...........................................49011
239.25 Form S-4 amended............................................54516
239.34 Form F-4 amended............................................54516
239.36 Form F-6 amended............................................30403
239.37 Form F-7 amended.....................................24655, 30403
239.38 Form F-8 amended.....................................24655, 30403
239.39 Form F-9 amended.....................................24656, 30403
239.40 Form F-10 amended....................................24656, 30403
239.41 Form F-80 amended....................................24656, 30403
239.90 Form 1-A amended............................................67203
239.91 Form 2-A amended............................................67203
239.101 Removed....................................................30403
239.300 Removed....................................................30403
239.701 Removed....................................................30403
240 Phase-in period extension......................................30396
Authority citation amended.....................................48328
Revised compliance dates.......................................63709
240.0-9 Revised....................................................49959
240.0-11 (c)(1)(ii) revised........................................49959
240.3a12-8 (a)(1)(xv) and (xvi) amended; (a)(1)(xvii), (xviii) and
(xix) added................................................10274
240.11Aa3-1 (a)(4) revised.........................................48328
240.11Ac1-1 Revised................................................48328
240.11Ac1-4 Added..................................................48331
240.12b-7 Removed..................................................49959
240.12b-11 (b) amended; (d) revised................................30403
240.12b-12 (e)(3) amended..........................................24656
240.12g-1 Amended..................................................21356
240.12g-4 (a)(1)(ii) and (2)(ii) amended...........................21356
240.12h-3 (b)(1)(ii) and (2)(ii) amended...........................21356
240.13a-1 Amended..................................................49959
240.13a-13 Heading and (c) revised.................................30403
240.13a-17 Removed.................................................30403
240.13d-7 Removed..................................................49959
240.13d-101 Amended................................................49959
240.13d-102 Amended................................................49959
240.13e-3 (e)(3) amended...........................................24656
240.13e-4 (e)(1)(ii)(A) revised....................................24656
(h)(5) revised.................................................68589
240.13e-102 Amended................................................24656
240.14a-3 (b)(2) redesignated as (b)(2)(i); (b)(2)(ii) added.......24656

[[Page 41]]

240.14a-5 (d) redesignated as (d)(1); (d)(2) added.................24656
240.14a-6 (i) revised..............................................49960
240.14a-7 Note added...............................................24657
240.14a-101 Amended................................................49960
240.14c-4 (d) added................................................24657
240.14c-5 (g) revised..............................................49960
240.14c-7 (c) revised..............................................24657
240.14c-101 Amended................................................49960
240.14d-1 (d) revised..............................................30403
240.14d-5 Authority citation removed...............................24656
Note added.....................................................24657
240.14d-102 Amended................................................24657
240.14d-103 Amended................................................24657
240.15d-1 Amended..................................................49960
240.15d-13 Heading and (c) revised.................................30403
240.15d-17 Removed.................................................30404
240.16a-1 (a)(3) and (c)(3) revised; (c)(5) and (6) amended;
(c)(7) added...............................................30391
240.16a-2 (b) and (d)(2) revised...................................30392
240.16a-3 (f)(1)(i) and (g) revised; (f)(1)(ii) and (iii)
redesignated as (f)(1)(iii) and (iv); new (f)(1)(ii) and
(j) added..................................................30392
(i) revised....................................................30404
240.16a-4 (b), (c) and (d) revised.................................30392
240.16a-6 (a) revised; (c) removed.................................30392
240.16a-8 (a)(1) revised; (b)(3) note added........................30392
240.16a-9 (a) revised..............................................30393
240.16a-11 Added...................................................30393
240.16a-12 Added...................................................30393
240.16a-13 Added...................................................30393
240.16b-1 (c) removed..............................................30404
240.16b-2 Removed..................................................30393
240.16b-3 Revised..................................................30393
240.16b-4 Removed..................................................30404
240.16b-6 (b) note added...........................................30394
240.24b-2 Note added; (g) removed..................................30404
240.31-1 Note and (f) revised; eff. 1-1-97; revised; eff. 9-1-97;
note revised; eff. 10-1-97.................................68594
241 Interpretive releases..........................................24651
249.103 Form 3 amended.............................................30394
249.104 Form 4 amended.............................................30394
249.105 Form 5 amended.............................................30395
249.240f Form 40-F amended.........................................49960
249.308 Form 8-K amended....................................54508, 54516
249.308a Form 10-Q amended.........................................54509
249.308b Form 10-QSB amended.......................................54509
249.310 Form 10-K amended...................................30404, 54509
249.310b Form 10-KSB amended.......................................54509
249.310c Removed...................................................30404
249.323 (a) amended................................................21356
249.330 Form N-SAR amended.........................................49961
249.501 Form BD revised............................................37361
Regulation at 61 FR 37361 compliance date suspended............47412
250.1 (d) removed..................................................49961
250.94 (b) removed.................................................49961
250.106 Removed....................................................49961
250.107 Removed....................................................49961
259.404 Form U-7D amended..........................................49961
270 Authority citation amended.....................................13976
270 Compliance date suspension.....................................42786
270.0-5 (d) removed................................................49961
270.0-8 Revised....................................................49961
270.2a-7 Revised; eff. 6-3-96......................................13976
270.2a41-1 (a) introductory text revised; eff. 6-3-96..............13982
270.6c-10 Revised..................................................49016
270.8b-6 Removed...................................................49961
270.8b-12 (f) added; authority citation removed....................24657
270.11a-3 (a)(3) revised...........................................49016
270.12b-1 (b)(1) revised...........................................49011
270.12d3-1 (d)(7)(v) revised; eff. 6-3-96..........................13982
270.12d3-1 Regulation at 61 FR 13982 compliance date suspended.....42786
270.17a-9 Added; eff. 6-3-96.......................................13983
270.17f-6 Added....................................................66212
270.24e-2 (a) revised..............................................68595
270.24f-2 (a)(3) removed; (a)(4) redesignated as (a)(3); new
(a)(3) revised.............................................49961
270.30a-1 Amended..................................................49961
270.30b1-1 Amended.................................................49961
270.30b1-3 Amended.................................................49961
270.30d-1 (c), (d)(2) and (e) amended..............................24657
270.30d-2 Amended..................................................24657
270.31a-1 (b)(1) amended; eff. 6-3-96..............................13983
270.31a-1 Compliance date suspension...............................42786
271 Interpretive releases..........................................24651
274.11A Form N-1A amended; eff. 6-3-96......................13983, 13984
274.11A Form N-1A amended.....................24657, 49016, 49017, 49961

[[Page 42]]

274.11a-1 Form N-2 amended..................................24658, 49961
274.11b Form N-3 amended; eff. 6-3-96.......................13983, 13984
274.11b Form N-3 amended....................................24658, 49961
274.11c Form N-4 amended....................................24658, 49961
274.101 Form N-SAR amended; eff. 6-3-96.....................13983, 13984
274.101 Form N-SAR amended.........................................49961
275.0-5 (d) removed; (e) redesignated as (d).......................49962
275.203-3 Removed..................................................49962
275.204-1 (c) stayed...............................................68173
276 Interpretive releases..........................................24651
279.3 Stayed.......................................................68173
Chapter IV
400 Authority citation revised.....................................48348
400.1 (e) added....................................................48348
420 Added..........................................................48348
420.4 (a)(3) corrected.............................................52498
420.5 Corrected.............................................52498, 53996
420 Appendix B corrected...........................................52498

1997

17 CFR
62 FR
Page
1 Advisory.....................................7675, 31507, 32859, 34165
Interpretation.................................................25470
Fee schedules..................................................26384
1.10 (a)(2)(i)(A), (B), (ii)(A), (B), (3)(i), (ii)(A), (b)(1),
(2)(i), (ii)(A), (c), (d)(2)(v), (3) (f) heading, (1),
(g)(5), (j)(8)(i)(B) and (ii)(B) revised; (d)(2)(vi)
redesignated as (d)(2)(vii); new (d)(2)(vi) added; (g)(3)
and (i) removed; eff. 6-30-97...............................4639
(b)(2)(iii) added; (c), (d)(4), (g)(1) and (2) revised; eff.
4-7-97.............................................................10444
(c) amended....................................................33007
1.12 (b)(4) revised.................................................4640
1.17 (d) introductory text revised; (d)(3) removed; eff. 6-30-97
4641
1.18 (a) and (b) revised; eff. 6-30-97..............................4641
1.23 Revised.......................................................42400
1.25 Revised.......................................................42400
1.27 (a)(4) and (b)(2) revised.....................................42401
1.31 (c)(1)(iii) and (3) revised...................................24031
1.41 (c) revised; eff. 4-7-97......................................10433
(b) introductory text, (1) through (5) and concluding text
redesignated as (b)(1)(i) introductory text, (A) through (E) and
(ii); new (b)(1)(i) amended; new (b)(1)(ii) revised; new (b)(2),
new (3) and new (4) added; eff. 4-7-97.............................10439
1.41a (a)(2) and (3) revised.......................................17701
1.41b (b) revised; eff. 4-7-97.....................................10439
1.52 (a) revised; eff. 6-30-97......................................4641
3 Authority citation revised........................................4641
3.33 (c)(1) revised; eff. 6-30-97...................................4642
4.1 (c) and (d) added..............................................39115
4.2 (a) revised....................................................18268
4.21 (b) revised...................................................39115
4.26 (d) revised...................................................18268
4.31 (b) revised...................................................39115
4.36 (d) revised...................................................18268
5 Authority citation revised.......................................10440
Fee schedules..................................................26384
5.1 Added; eff. 4-7-97.............................................10440
5 Appendix D amended; eff. 4-7-97..................................10441
11 Authority citation revised......................................17702
11.1 Revised.......................................................17702
11.2 (a) revised...................................................17702
12 Advisory........................................................43930
Technical correction...........................................45702
15.00 (b)(1)(ii) revised; eff. 4-14-97..............................6113
(b) and (l) revised............................................24031
(l) correctly designated.......................................27659
15.01 (d) revised; eff. 4-14-97.....................................6113
(d)(1) corrected; eff. 4-14-97.................................13301
15.03 Revised......................................................61227
Table corrected................................................65203
16.00 (a)(5) revised...............................................24031
16.01 Heading and (d) revised; (a)(5) and (6) removed; (a)(7) and
(c) redesignated as (a)(5) and (b)(3); new (c) added.......24032
16.06 Revised......................................................24032
16.07 Revised......................................................24032
17.00 (a), (d), (e) and (g) revised................................24032
17.02 (a) revised..................................................24033
17.03 Revised......................................................24034
17.04 (a) and (b) introductory text revised........................24034
18.03 Added; eff. 4-14-97...........................................6114
18.04 Introductory text revised; (d) removed; eff. 4-14-97..........6114
Corrected; eff. 4-14-97........................................13301
19.00 (a)(1) revised; eff. 4-14-97..................................6114
(a)(1) corrected...............................................13301

[[Page 43]]

30 Appendix C amended...................8877, 10447, 10449, 10450, 16690
31 Fee schedules...................................................26384
31.13 (m) revised; eff. 4-7-97.....................................10445
140.735-8 (b)(3) corrected.........................................13302
145 Authority citation revised.....................................17069
145.0 Revised......................................................17069
145.2 Revised......................................................17069
145.5 (d)(1)(i)(G) removed; eff. 6-30-97............................4642
145.7 Introductory text added; (a) revised.........................17069
147.3 (b)(4)(i)(A)(7) removed; eff. 6-30-97.........................4642
190 Appendix B amended.............................................31710
Chapter II
200.30-1 (m) removed...............................................36455
(b) and (g)(2) removed; (g)(3) redesignated as (g)(2); (c)
through (l) redesignated as (b) through (k)........................47368
200.30-3 (a)(6) revised..............................................542
(a)(61) and (62) added..........................................1385
200.30-5 (j) removed; (k) and (l) redesignated as (j) and (k)......36455
200.30-6 (a), (b) and (c) removed; (d) through (h) redesignated as
(a) through (e)............................................47368
202 Policy statement...............................................15604
Authority citation amended.....................................16079
202.3a Introductory text amended...................................47938
202.8 Added.........................................................4105
202.9 Added........................................................16079
210 Authority citation revised...............................6063, 12749
210.1-02 (d) revised; eff. 4-17-97.................................12749
210.4-08 (n) added; eff. 4-11-97....................................6063
228 Authority citation revised........................6064, 36455, 39761
Technical correction...........................................43581
228.10 (g) added; eff. 4-11-97......................................6064
(a)(1) amended.................................................26388
228.310 Note 2 amended; eff. 4-11-97................................6064
228.502 (d)(1) introductory text and (i) revised; (d)(2) amended
542
228.508(i) amended; (j) added........................................543
(j) corrected..................................................11323
228.601 (a) amended; (c)(1)(ii) note designated as (c)(1)(ii) Note
1; (c)(1)(ii) Note 2 and (2)(iii) note added; (c)(1)(v)
revised....................................................36455
228.701 Heading revised; (f) added.................................39761
229 Authority citation revised......................................6064
Technical correction...........................................43581
229.305 Added; eff. 4-11-97.........................................6064
229.502 (d)(1) introductory text and (i) revised; (d)(2) amended
543
229.508 (k) amended; (l) added.......................................543
(l) corrected..................................................11323
229.601 (a) amended; (c)(1)(ii) note designated as (c)(1)(ii) Note
1; (c)(1)(ii) Note 2 and (2)(iii) note added; (c)(1)(v)
revised....................................................36456
229.701 Heading revised; (f) added.................................39762
230 Authority citation amended.....................................24573
Technical correction...........................................43581
Authority citation corrected; CFR correction...................65019
230.135e Added.....................................................53954
230.144 (d)(1), (e)(3)(ii), (iii), (iv) and (k) revised; eff. 4-
29-97.......................................................9244
230.145 (d)(2) and (3) revised; eff. 4-29-97........................9245
230.146 Added......................................................24573
230.401 (c) revised................................................39762
230.404 (a) amended................................................39763
230.405 Amended.............................................26388, 36456
230.418 (a)(4) amended...............................................543
230.424 (d) amended................................................39763
230.461 (b)(7) amended...............................................543
230.462 (d) added..................................................39763
230.463 (a) and (b) revised........................................39763
230.482 (d) revised................................................64978
230.485 (b)(1)(i) and (ii) removed; (b)(1)(iii) through (ix)
redesignated as (b)(1)(i) through (vii); (b)(2)
introductory text and (d)(2)(ii)(B) and (ii) undesignated
text amended...............................................47938
230.497 (f) amended................................................39763
230.502 (c)(2) amended.............................................53954
230.901--230.905 Preliminary Note 7 amended........................53954
230.902 (b)(8) added...............................................53954
232 Technical correction....................................16691, 43581
232.10 (b) note revised............................................36456
232.11 (e) and (m) revised.........................................36456
232.13 (a)(1)(iii) amended.........................................47938
232.14 Added.......................................................58649
232.100 Added......................................................36456
232.101 (a)(1)(ii), (iii), (iv), (2)(ii), (b)(1), (c)(6) and (7)
revised; (c)(19) removed; (d) added........................36456
(c)(5) removed; (c)(6) through (18) redesignated as (c)(5)
through (17).......................................................39763

[[Page 44]]

232.102 (d) amended................................................36457
232.201 (b) note designated as (b) Note 1; (b) Note 2 added........36457
232.202 (d) note designated as (d) Note 1; (d) Notes 2 and 3 added
36457
232.301 Revised.....................................................8878
Technical correction...........................................16691
Corrected......................................................13821
Revised........................................................41842
232.303 (a)(2) and (b) revised.....................................36457
232.304 (b)(2) and (d) revised.....................................36458
232.307 Revised....................................................36458
232.311 (i) added..................................................36458
232.601 Undesignated center heading and section added..............36458
232.901--232.903 Undesignated center heading removed...............36458
232.901 Removed....................................................36458
232.902 Removed....................................................36458
232.903 Removed....................................................36458
239 Authority citation amended......................................6070
239.9 Form SB-1 amended............................................39763
239.10 Form SB-2 amended...........................................39763
239.11 Form S-1 amended; eff. 4-11-97...............................6070
Form S-1 amended...............................................39764
239.12 Form S-2 amended; eff. 4-11-97...............................6070
Form S-2 amended........................................36458, 39764
239.13 (b)(1) and Form S-3 amended.................................26388
Form S-3 amended........................................36458, 39764
239.15A Form N-1A amended...................................47939, 64986
239.16 Form S-6 amended............................................47938
239.16b Form S-8 amended...........................................36458
239.17a Form N-3 amended....................................47939, 64986
239.17b Form N-4 amended......................47939, 47940, 64986, 64987
239.18 Form S-11 amended; eff. 4-11-97..............................6071
Form S-11 amended..............................................39764
239.23 Form N-14 amended...........................................47938
239.25 Form S-4 amended; eff. 4-11-97...............................6071
Form S-4 amended...............................................39764
239.31 Form F-1 amended............................................39765
239.32 (b)(2)(i) and Form F-2 amended..............................26388
Form F-2 amended........................................36459, 39765
239.33 (b)(1) and Form F-3 amended.................................26388
Form F-3 amended...............................................36459
239.34 Form F-4 amended; eff. 4-11-97...............................6071
Form F-4 amended...............................................39766
Form F-4 corrected.............................................43581
239.37 Form F-7 corrected..........................................11323
239.38 Form F-8 corrected..........................................11323
239.39 Form F-9 corrected..........................................11323
239.40 Form F-10 corrected.........................................11323
239.61 Removed; Form SR removed....................................39766
239.144 (c) and Form 144 amended...................................35340
239.500 Form D amended.............................................39766
240 Compliance dates...............................................18514
Technical correction....................................43581, 45289
240 Authority citation amended...................543, 6071, 12749, 35340
Revised compliance dates.................................6468, 40732
240.0-1 (a)(5) revised.............................................36459
240.10a-1 (e)(5) introductory text, (6), (10) and (11) amended.......543
240.10b-6 Removed....................................................543
240.10b-6A Removed...................................................543
240.10b-7 Removed....................................................543
240.10b-8 Removed....................................................543
240.10b-18 (a)(3)(i) through (vi) redesignated as (a)(3)(ii)
through (vii); (a)(3)(i) added; (a)(5) and (6) revised.......543
(a)(3)(i) corrected............................................11323
240.10b-21 Removed...................................................543
240.10A-1 Undesignated center heading and section added; eff. 4-
17-97......................................................12749
240.11a-1 (b)(3) amended.............................................544
240.11Aa3-1 Regulation at 61 FR 48328 eff. date delayed to 1-13-97
1280
240.11Ac1-1 Regulation at 61 FR 48328 eff. date delayed in part to
4-10-97.....................................................1280
Regulation at 61 FR 48328 eff. date delayed in part to 1-20-97
1385
240.11Ac1-4 Regulation at 61 FR 48331 eff. date delayed to 1-13-97
1280
Regulation at 61 FR 48331 eff. date delayed to 1-20-97..........1385
240.12a-8 Added....................................................39766
240.12b-2 Amended..................................................26389
240.12d1-1--240.12d2-2 Undesignated center heading revised.........39766
240.12d1-2 (b) revised; (c) added..................................39766
240.12g-3 Revised..................................................39767
240.13a-1 Revised..................................................39767
240.13a-2 Removed..................................................39768

[[Page 45]]

240.13d-2 (c) revised..............................................36459
240.13d-101 Amended................................................35340
240.13d-102 Amended................................................35340
240.13e-4 (h)(5)(i) amended..........................................544
(h)(5)(i) corrected............................................11323
(f)(12) amended................................................36459
240.13e-102 Amended..................................................544
240.14a-3 (b)(5)(iii) added; eff. 4-11-97...........................6071
240.14a-101 Amended; eff. 4-11-97...................................6071
Amended........................................................36459
240.14d-1 (c) and (d) redesignated as (e) and (f); new (c) and new
(d) added..................................................53955
240.14d-100 Amended................................................35341
240.14d-102 Amended..................................................544
240.14e-1 (e) revised..............................................36459
240.15c3-1 (a)(7) removed; (c)(2)(x) revised; eff. 9-1-97...........6480
240.15c3-1a Revised; eff. 9-1-97....................................6481
240.15d-3 Revised..................................................39768
240.15d-5 (a) revised..............................................39768
240.17a-2 (a), (b) introductory text, (1), (c) introductory text,
(1) and (d) revised..........................................544
240.17a-4 (f) revised; eff. 4-14-97.................................6473
240.17a-5 (g)(1) correctly revised; CFR correction.................42664
240.17a-24 Added...................................................52236
240.17Ad-7 (i) added...............................................52237
240.17Ad-17 Added..................................................52237
242 Added............................................................544
242.100 Corrected..................................................11323
242.102 (b)(7)(ii) corrected.......................................11323
242.104 Regulation at 62 FR 548 eff. date corrected in part to 4-
1-97.......................................................11321
(f)(2)(i) and (j)(2)(ii) corrected.............................11323
(f)(2)(i) corrected............................................13213
249 Technical correction...........................................43581
249.103 Amended....................................................35341
249.104 Amended....................................................35341
249.105 Amended....................................................35341
249.208a (c) revised; (d) added; Form 8-A amended..................39768
249.208b Removed; Form 8-B removed.................................39769
249.210 Form 10 amended; eff. 4-11-97...............................6072
249.210 Form F-10 amended..........................................39769
249.220f Form 20-F amended; eff. 4-11-97............................6072
249.220f Form 20-F amended.........................................39769
249.308a Form 10-Q amended; eff. 4-11-97............................6078
249.308a Form 10-Q amended.........................................39769
249.308b Form 10-QSB amended.......................................39770
249.310 Form 10-K amended; eff. 4-11-97.............................6079
249.310 Form 10-K amended...................................26389, 39770
249.310b Form 10-KSB amended................................26389, 39770
249.1100 Form MSD amended..........................................35341
249b.100 Form TA-1 amended.........................................35341
249b.102 Form TA-2 amended.........................................52237
250.45 (b)(4) revised...............................................7915
250.52 (b) revised..................................................7915
250.58 Added........................................................7916
259.208 Added.......................................................7917
260.0-2 (g) revised................................................36459
269.2 Amended; Form T-2 amended....................................35342
270 Authority citation amended..............................47938, 64978
270.2a-7 Revised...................................................64978
270.2a41-1 (a) introductory text revised...........................64985
270.2a51-1 Added...................................................17526
270.2a51-2 Added...................................................17528
270.2a51-3 Added...................................................17528
270.3a-4 Added.....................................................15109
270.3c-1 Added.....................................................17529
270.3c-5 Added.....................................................17529
270.3c-6 Added.....................................................17529
270.10f-3 Revised..................................................42408
270.12b-1 (g) revised..............................................51765
270.12d3-1 (d)(7)(v) revised.......................................64986
270.17a-9 Introductory text amended................................64986
270.17f-5 Revised..................................................26932
270.18f-3 (c) and (e)(2)(iii) revised..............................51765
270.24e-1 Amended..................................................47938
270.24e-2 Removed..................................................47938
270.24f-1 Removed..................................................47938
270.24f-2 Revised..................................................47938
270.31a-1 (b)(1) amended...........................................64986
270.34b-1 (b) revised..............................................64986
274.11A Form N-1A amended...................................47939, 64986
274.11b Form N-3 amended....................................47939, 64986
274.11c Form N-4 amended.............................47939, 47940, 64987
274.24 Revised.....................................................47940
Form 24F-2 amended.............................................64688
275 Authority citation revised.....................................28132
275.203(b)(3)-1 Revised............................................28132
275.203A-1 Added...................................................28133
275.203A-2 Added...................................................28133

[[Page 46]]

275.203A-3 Added...................................................28134
275.203A-4 Added...................................................28134
275.203A-5 Added...................................................28134
275.204-1 Revised..................................................28135
275.204-2 (a) introductory text revised; (k) added.................28135
275.205-3 Heading and (a) revised..................................28135
275.206(3)-2 (a) introductory text revised.........................28135
275.206(4)-1 (a) introductory text revised.........................28135
275.206(4)-2 (a) introductory text revised.........................28135
275.206(4)-3 (a)(1)(ii)(C) amended.................................28135
275.206(4)-4 (a) introductory text revised.........................28135
275.222-1 Added....................................................28135
275.222-2 Added....................................................28136
279.1 Form ADV amended.............................................28136
(d) corrected..................................................33008
279.3 Revised......................................................28136
300.300 (a) and (c) amended; eff. 4-7-97...........................10451
300.301 (a)(2)(i) amended; eff. 4-7-97.............................10451
Chapter IV
404.4 (a)(1) revised; eff. 4-30-97..................................7155

1998

17 CFR
63 FR
Page
Chapter I
1 Fee schedules....................................................11368
Technical correction...........................................51124
1.3 (gg)(2)(iv) revised............................................32730
1.12 (b)(2) revised................................................32731
(a)(1) and (e) revised; (h)(1) and (2) redesignated as (i)(1)
and (2); (b)(4), (c), (d), (f)(1) through (5), (g)(2) and new
(i)(2) amended; new (h) added......................................45715
1.17 (c)(5)(iii) removed...........................................32726
(a)(1)(i)(B), (e)(1)(ii), (h)(2)(vi)(C)(2), (vii)(A)(2),
(B)(2), (viii)(A)(2), (3)(ii)(B) and (v)(B) revised................32731
1.35 (a-1) (1), (2)(i) and (4) revised; (a-1)(5) added.............45709
(a-1)(5)(i)(D), (ii)(H) and (I) corrected......................49955
1.41 (k)(1) revised................................................33848
1.55 (a)(1) revised; (a)(1)(iii) removed; (f) redesignated as (g);
new (f) added; eff. 4-21-98.................................8570
(a)(1) revised.................................................52157
1.65 (a)(3)(ii) redesignated as (a)(3)(iii); new (a)(3)(ii) added;
eff. 4-21-98................................................8571
3.13 Added; interim................................................18830
3.14 Added; interim................................................18831
4.24 (j)(1)(v) amended; CFR correction.............................24390
(j)(1)(v) corrected; CFR correction............................24390
(v)(3) introductory text revised; eff. 4-30-99.................58303
4.25 (c)(5) introductory text revised; eff. 4-30-99................58303
5 Fee schedules....................................................11368
10 Technical correction............................................68829
10.1 (d) amended; (e) through (h) redesignated as (f) through (i);
new (e) added..............................................55791
10.9 (b) revised...................................................55791
10.12 (a)(2) revised...............................................55791
10.21 Revised......................................................55791
Corrected......................................................68829
10.22 (b) introductory text amended; (b)(1) and (2) added..........55791
10.24 (a), (b) and (c) revised.....................................55791
10.26 (b) amended..................................................55791
10.41 (f) and (g) redesignated as (g) and (h); new (f) added.......55791
10.42 (b) and (c) redesignated as (c) and (e); (a), new (c) and
new (e)(1) revised; new (b), (d) and (f) added.............55792
(b)(7) and (c)(1)(iii) corrected...............................68829
10.66 (b) revised..................................................55793
(b) corrected..................................................68829
10.68 (a)(1), (2), (b)(3), (c) heading and (1) revised; (c)(2),
(e)(1) and (f) amended.....................................55794
(c)(2) heading and (f) corrected...............................68829
10.84 (b) revised..................................................55794
Heading corrected..............................................68829
10.101 (b)(1) revised..............................................55794
10.102 (b)(3) redesignated as (b)(4); (a), new (b)(4) and (d)(2)
revised; new (b)(3) and (5) added; (e)(1) and (2) amended
55794
(e) correctly designated.......................................58811
(a)(1), (2) and (b)(3) corrected...............................68829

[[Page 47]]

10.106 Heading revised; existing text designated as (a); (a)
heading, (b) and (c) added.................................55795
(c) corrected..................................................68829
10.110--10.113 (Subpart I) Added...................................55795
Correctly designated...........................................58811
10.111 Heading corrected...........................................68829
10 Appendix A added................................................55796
Appendix A corrected...........................................68829
11.1 Correctly revised..............................................5233
11.2 (a) correctly revised..........................................5233
30.6 (a) revised; eff. 4-21-98......................................8571
31 Fee schedules...................................................11368
32.2 Revised; interim..............................................18832
32.13 Added; interim...............................................18832
33.4 Introductory text amended; interim............................18834
(a)(2) removed.................................................32732
33.7 (a)(1) introductory text revised; eff. 4-21-98.................8571
(b) amended....................................................32732
140.99 Added.......................................................68181
140.735-4 (b)(3) and (c)(5) introductory text revised..............32733
190.10 (c)(1) revised; eff. 4-21-98.................................8571
Chapter II
200 Authority citation amended......................................8101
200.30-3 (a)(63) added..............................................8101
200.30-3 (a)(7)(iv) amended; (a)(7)(v), (64), (65) and (66)
added..............................................................59394
201.102 (e)(1)(iv) added...........................................57172
201.210 (a)(1) and (c) introductory text revised; (c)(3) added.....63405
201.221 Heading, (a) and (d) revised...............................63405
202.3 (b) revised; eff. 4-21-99....................................70916
210 Policy statement................................................9135
211 Staff Accounting Bulletin No. 98 added..........................6474
Policy statement................................................9135
228.101 (c) and (d) added; eff. 10-1-98.............................6379
228.501 Revised; eff. 10-1-98.......................................6379
228.502 Revised; eff. 10-1-98.......................................6380
228.503 Revised; eff. 10-1-98.......................................6380
228.508 (a) amended; (j) revised; eff. 10-1-98......................6380
229.101 (e), (f) and (g) added; eff. 10-1-98........................6381
229.501 Revised; eff. 10-1-98.......................................6381
229.502 Revised; eff. 10-1-98.......................................6383
229.503 Revised; eff. 10-1-98.......................................6383
229.508 (e) and (l) revised; eff. 10-1-98...........................6384
230 Authority citation amended........................6384, 13943, 13984
230.144 (a)(3) and (e)(3)(vii) revised; eff. 4-27-98................9642
230.146 Heading revised; introductory text, (a) and (b)
redesignated as (a) introductory text, (1) and (2); (b)
added.......................................................3035
230.157 Heading and (b) revised....................................35514
230.421 (b) revised; (d) added; eff. 10-1-98........................6384
230.431 (a) introductory text revised; eff. 6-1-98.................13984
230.461 (b)(1) revised; eff. 10-1-98................................6385
230.480 Note amended; eff. 6-1-98..................................13943
230.481 Revised; eff. 10-1-98.......................................6385
230.482 (a) introductory text, (3), (5) and (7) revised;
(d)(1)(ii) amended; (d)(1)(iii) added; eff. 6-1-98.........13984
230.483 Form N-1A amended; eff. 6-1-98.............................13943
230.485 (b) introductory text and (1)(iv) amended; eff. 6-1-98.....13943
230.495 (a) amended; eff. 6-1-98...................................13943
230.497 (d) and (e) amended; eff. 6-1-98...........................13943
(a) revised; (k) added; eff. 6-1-98............................13984
(k)(2)(ii) corrected...........................................19286
230.498 Added; eff. 6-1-98.........................................13985
(b) and (c)(3) corrected.......................................19286
230.901--230.905 Preliminary Note 5 amended; eff. 4-27-98...........9642
230.902 Revised; eff. 4-27-98.......................................9642
230.903 Revised; eff. 4-27-98.......................................9645
230.904 Revised; eff. 4-27-98.......................................9646
230.905 Added; eff. 4-27-98.........................................9647
231 Interpretation.................................................14806
Interpretive releases..........................................41404
232.301 Revised.....................................................3463
Revised........................................................29105
232.304 (d) amended; eff. 6-1-98...................................13944
239 Authority citation amended.....................................13944
239.12 Form S-2 amended; eff. 10-1-98...............................6386
239.13 Form S-3 amended; eff. 10-1-98...............................6386
239.15A Form N-1A revised; eff. 6-1-98.............................13944

[[Page 48]]

Form N-1A corrected; OMB number................................14814
Form N-1A corrected............................................19286
239.20 Form S-20 amended; eff. 10-1-98..............................6386
239.23 Form N-14 amended; eff. 6-1-98..............................13944
239.25 Form S-4 amended; eff. 10-1-98...............................6386
239.32 Form F-2 amended; eff. 10-1-98...............................6387
239.33 Form F-3 amended; eff. 10-1-98...............................6387
239.34 Form F-4 amended.............................................6387
240 Authority citation amended...............................8102, 13944
240.0-10 Heading, (a), (b), (e), (g)(2), (3) and (i) revised;
(h)(2) and (3) redesignated as (h)(3) and (4); (h)(2), (j)
and (k) added..............................................35514
240.0-12 Added......................................................8102
240.3a1-1 Added; eff. 4-21-99......................................70917
240.3b-12 Added....................................................59394
240.3b-13 Added....................................................59395
240.3b-14 Added....................................................59395
240.3b-15 Added....................................................59395
240.3b-16 Added; eff. 4-21-99......................................70918
240.6a-1 Heading, (a) and (b) revised; eff. 4-21-99................70918
240.6a-2 Revised; eff. 4-21-99.....................................70918
240.6a-3 Revised; eff. 4-21-99.....................................70919
240.8c-1 (b)(1) revised............................................59395
240.11a1-6 Added...................................................59396
240.11Ac1-1 (c)(5)(ii)(A), (B) introductory text, (1) and (2)
redesignated as (c)(5)(ii)(A)(1), (2) introductory text,
(i) and (ii); new (c)(5)(ii)(A)(2)(ii) amended; new
(c)(5)(ii)(B) added; eff. 4-21-99..........................70919
240.13d-1 (b)(3) and (4) removed; (c) through (f) redesignated as
(d), (i), (j) and (k); (a), (b)(1) introductory text,
(ii), (2) and new (d) revised; new (c) and new (e) through
(h) added...................................................2865
(d) corrected..................................................15287
240.13d-2 (a), (b) and note revised; (c) redesignated as (e); new
(c) and (d) added...........................................2866
240.13d-3 (d)(1)(ii) revised........................................2867
240.13d-7 Added.....................................................2867
240.13d-101 Amended.................................................2867
Corrected......................................................15287
240.13d-102 Amended; heading revised................................2867
Corrected......................................................15287
240.14a-4 (c) introductory text and (1) revised; (c)(2) through
(5) redesignated as (c)(4) through (7); new (c)(2) and (3)
added......................................................29118
(c)(2)(iii) corrected..........................................50622
240.14a-5 (e) revised; (f) added...................................29118
(d) corrected..................................................46881
240.14a-8 Revised..................................................29119
(c), (h)(2), (i)(2) note, (5) and (9) corrected................50622
(m)(2) corrected...............................................50623
240.14a-101 (a)(1)(i) and (3)(iv) amended; eff. 6-1-98.............13944
240.15a-1 Added....................................................59396
240.15b1-1 (a) revised.............................................59397
240.15b9-2 Added...................................................59397
240.15c2-1 (b)(1) revised..........................................59397
240.15c2-5 (d) added...............................................59397
240.15c3-1 (a) introductory text amended; (a)(5) and (c)(15) added
59397
240.15c3-1f Added..................................................59398
240.15c3-3 (a)(1) revised; (h) amended.............................59400
240.15c3-4 Added...................................................59400
240.16a-1 (a)(1)(i) through (vii) revised; (a)(1)(viii)
redesignated as (a)(1)(xi); new (a)(1)(viii), (ix) and (x)
added.......................................................2868
240.17a-3 (a)(4)(vi) and (10) amended..............................59401
240.17a-3 (a)(16) added; eff. 4-21-99..............................70919
240.17a-4 (b)(8) introductory text and (xv) amended; (b)(10) added
59401
(b)(1) revised; (b)(11) added; eff. 4-21-99....................70919
240.17a-5 (e)(5) added.............................................37673
(e)(5)(vi) added...............................................59213
(o) added......................................................59401
240.17a-11 (b) redesignated as (b)(1); (b)(2) and (c)(4) added;
(c) introductory text, (e) introductory text and (h)
amended; (c)(3) revised....................................59401
240.17a-12 Added...................................................59401
240.17a-23 Removed; eff. 4-21-99...................................70920
240.17Ad-17 (a)(3)(i) corrected.....................................1884
240.17Ad-18 Added..................................................37693
(f) added......................................................58635

[[Page 49]]

240.19b-4 (e) through (h) redesignated as (f) through (i); new (e)
added......................................................70967
240.19b-5 Added; eff. 4-21-99......................................70920
240.36a1-1 Added...................................................59404
240.36a1-2 Added...................................................59404
241 Interpretive releases............................14806, 17943, 41404
242 Authority citation revised.....................................70921
Heading revised; eff. 4-21-99..................................70921
242.300--242.303 Undesignated center heading and sections added;
eff. 4-21-99...............................................70922
242.301 Eff. in part 4-1-00........................................70922
249 Technical correction...........................................42229
249.1 Revised; eff. 4-21-99........................................70925
249.1a Removed; eff. 4-21-99.......................................70933
249.308 Form 8-K amended; eff. 1-1-99...............................9647
249.308a Form 10-Q amended; eff. 1-1-99.............................9647
249.308b Form 10-QSB amended; eff. 1-1-99...........................9647
249.310 Form 10-K amended; eff. 1-1-99..............................9647
249.310b Form 10-KSB amended; eff. 1-1-99...........................9647
249.501 Form BD amended.............................................9416
249.617 Amended....................................................59404
Form X-17A-5 corrected.........................................63143
249.618 Added......................................................37674
249.619 Added......................................................37694
249.636 Removed; eff. 4-21-99......................................70933
249.637 Added; eff. 4-21-99........................................70933
249.638 Added; eff. 4-21-99........................................70943
249.819 Form 19b-4 amended.........................................70967
249.820 Added......................................................70967
249.821 Added; eff. 4-21-99........................................70946
250.45 (b)(7) added.................................................9741
250.52 (a) and (b) revised; (e) added...............................9741
270 Compliance date extension......................................29345
270 Authority citation amended.....................................13987
270.0-10 Revised...................................................35514
270.8b-11 (c) amended; (e) revised; eff. 6-1-98....................13944
270.34b-1 (b)(1)(ii)(B) revised; eff. 6-1-98.......................13987
271 Interpretive releases...................................14806, 41404
274.11A Form N-1A revised; eff. 6-1-98.............................13944
Form N-1A corrected; OMB number................................14814
Form N-1A corrected............................................19286
274.11a-1 Form N-2 amended; eff. 10-1-98............................6388
274.24 Form 24F-2 amended..........................................62937
274 Appendix A corrected...........................................19286
275 Authority citation revised.....................................39027
275.0-7 Revised....................................................35515
275.203A-1 (b)(2), (c) and (d) amended.............................39716
275.203A-2 Introductory text, (b) introductory text, (1) and (3)
revised; (e) added.........................................39715
(d)(2) and (3) amended.........................................39716
275.203A-3 Introductory text and (a) revised.......................39715
275.203A-5 Removed.................................................39716
275.205-3 Revised..................................................39027
275.206(4)-3 (a)(1)(ii)(D) amended.................................39716
276 Interpretive releases............................14806, 39508, 41404
279.1 Form ADV amended.............................................39716
279.3 Removed......................................................39716
279.9 Added........................................................54312

1999

17 CFR
64 FR
Page
Chapter I
1 Fee schedules....................................................19711
1.31 (b), (c) and (d) revised......................................28742
(b)(4) stayed; eff. 7-7-99 through 9-27-99.....................36569
1.41 (f)(10) added....................................................22
1.61 Removed.......................................................24046
1.63 (a)(2) revised...................................................23
1.69 Added............................................................23
(a)(8) corrected................................................3340
3 Advisory.........................................................39912
3.11 (c)(1)(i)(A), (B), (ii)(A), (B), (C) and (2)(ii) revised;
(c)(1)(i)(C) and (ii)(D) removed; (c)(1)(ii)(E)
redesignated as (c)(1)(ii)(D)...............................1727
3.12 (d)(1)(iv), (v), (d)(3), (i)(1)(v) and (2) revised;
(d)(1)(vi) and (i)(1)(vi) removed; (i)(1)(vii)
redesignated as (i)(1)(vi)..................................1727
3.13 Revised.......................................................68016
3.14 Removed.......................................................68017
3.40 (a) revised....................................................1728
3.44 (a)(2) and (3) revised.........................................1728
5 Fee schedules.............................................19711, 30384
Authority citation revised.....................................66380
5.3 Added..........................................................66380
5 Appendix A revised...............................................29217
Appendix E added...............................................29224

[[Page 50]]

9 Order............................................................39913
Advisory.......................................................39915
Technical correction...........................................43254
9.9 (b)(1) introductory text, (3) and (4) revised..................46270
10.1 (d) revised...................................................30903
10.68 (a)(2) amended...............................................30903
10.92 (b)(1) revised...............................................30903
10.101 (a)(5)(iii) revised.........................................30903
10.102 (e)(1) amended..............................................30903
10.106 (b)(3) amended..............................................30903
10.109 Introductory text, (a)(2)(ii) and (b) revised; (d) removed
43071
10 Appendix A amended..............................................30903
12.408 Introductory text and (b) revised...........................43071
17.00 (b)(1) introductory text revised; (b)(1) designation, (2)
and (c) removed; (b)(1)(i) and (ii) redesignated as (b)(1)
and (2); (b)(3) added......................................24046
18.01 Revised......................................................24046
30 Technical correction............................................30103
30.5 Introductory text and (e) added; (a) revised..................28914
30.6 (b) revised...................................................28914
30 Appendix C amended..............................................50251
31 Fee schedules...................................................19711
32.13 Revised......................................................68017
145 Authority citation revised........................................25
145.5 Introductory text, (d)(1)(i)(B) through (F) and (H) amended;
(d)(1) introductory text removed; (g) revised.................25
145.6 (a) amended.....................................................26
145.9 (d)(1) and (e)(1) amended; (d)(4), (6), (7) and (8) revised;
(d)(10) removed; (d)(11) redesignated as (d)(10)..............26
145 Appendixes A and B amended........................................27
147.3 (b)(4)(i) introductory text removed; (b)(4)(i)(A)(2) through
(6) and (8) amended...........................................27
150.1 (d) introductory text, (2), (e)(2) and (5) revised...........24046
150.2 Revised......................................................24047
150.4 Revised......................................................24047
150.5 Added........................................................24048
171.50 Heading, (a)(1) introductory text, (c) and (d) revised......46271
Chapter II
200.30-1 (e)(16) added.............................................61400
200.30-3 (a)(67) added.............................................42595
(a)(68) added..................................................61400
(a)(6) amended.................................................61442
200.30-5 (e)(2) revised............................................34540
202.3 (b)(2) revised...............................................19451
210 Technical correction...........................................61962
210.3-03 (e) amended................................................1734
210.3-01 (h) amended; eff. 9-30-00.................................53908
210.3-02 (d) amended; eff. 9-30-00.................................53908
210.3-12 (f) amended; eff. 9-30-00.................................53909
210.3-19 Removed; eff. 9-30-00.....................................53908
210.3-20 (d) amended; eff. 9-30-00.................................53908
210.10-01 (d) revised..............................................73401
210.12-16 Table amended.............................................1734
211 Staff accounting bulletin........................45150, 67154, 68936
228 Technical correction...........................................61962
228.305 Added......................................................73401
228.306 Added......................................................73401
228.310 Note 2 amended; eff. 9-30-00...............................53909
(b) introductory text revised..................................73401
228.402 (b)(2)(iv)(B) and (c)(1) introductory text revised; eff.
4-7-99.....................................................11115
229 Technical correction...........................................61962
229.10 (a)(2) revised..............................................61443
229.101 (b) introductory text, (1) and (d) revised; (c)(1)
introductory text, (i), (ii), (iv), (v) and instructions
amended.....................................................1734
229.102 Amended.....................................................1735
229.302 (a)(5) revised.............................................73402
229.306 Added......................................................73402
229.402 (b)(2)(iv)(B) and (c)(1) introductory text revised; eff.
4-7-99.....................................................11115
(a)(1)(ii) amended; eff. 9-30-00...............................53909
229.404 Amended; eff. 9-30-00......................................53909
229.512 (a)(4) amended; eff. 9-30-00...............................53909
229.601 (b)(10)(iii)(B)(5) amended; eff. 9-30-00...................53909
229.1000--229.1016 (Subpart 229.1000) Added........................61443
230 Authority citation revised.....................................61449
Technical correction...........................................61962
230.135 Revised....................................................61449
230.144 (a)(3)(iv) and (v) amended; (a)(3)(vi) and (vii) added.....61400
230.145 (b) revised................................................61450
230.154 Added......................................................62545
230.162 Added......................................................61450
230.165 Added......................................................61450
230.166 Added......................................................61450

[[Page 51]]

230.175 (b)(2)(i) and (c)(3) amended; eff. 9-30-00.................53909
230.401 (g) revised; eff. 4-7-99...................................11116
230.405 Amended; eff. 4-7-99.......................................11116
Amended; eff. 9-30-00..........................................53909
230.425 Added......................................................61450
230.432 Revised....................................................61451
230.434 (c)(3)(i) revised; (c)(3)(ii) amended; eff. 9-30-00........53909
230.463 (a) amended; eff. 9-30-00..................................53910
230.485 (f)(1) designation and (2) removed.........................27894
230.486 (f)(1) designation and (2) removed.........................27894
230.487 (d)(1) designation and (2) removed.........................27894
230.495 (e)(1) designation and (2) removed.........................27894
230.497 (k)(2)(ii) amended.........................................27894
230.504 (b)(1) revised; eff. 4-7-99................................11094
230.701 Revised; eff. 4-7-99.......................................11101
(c) introductory text, (d)(2)(ii) and (iii) amended............61498
230.800--230.802 Undesignated center heading and sections added....61400
232.10 (b) revised.................................................27894
232.11 Amended.....................................................27894
232.13 (d) amended.................................................61451
232.101 (a)(1)(iv) and (c)(11) amended.............................19471
(a)(1)(iii) note revised; (b)(7) removed.......................27894
(a)(1)(iii) revised; (b)(7) removed; (b)(8) redesignated as
(b)(7)..............................................................2849
232.102 (e) revised................................................27894
232.104 Added......................................................27895
232.105 Added......................................................27895
232.106 Added......................................................27895
232.301 Revised.............................................27898, 56431
232.302 (a) revised................................................27895
232.303 (a)(3) revised.............................................27895
232.304 Heading, (a) and (b) revised; (c) amended..................27895
232.305 Existing text designated as (a); (b) added.................27896
232.306 (b) revised................................................27896
232.307 Existing text designated as (a); (b) added.................27896
232.310 Revised....................................................27896
239 Technical correction...........................................61962
239.13 (b)(4) revised; Form S-3 amended; eff. 4-7-99...............11116
239.14 Form N-2 amended.....................................27897, 46837
239.15 Form N-1 amended............................................27897
239.15A Form N-1A amended...................................27897, 45836
239.16 Form S-6 amended............................................27896
239.16b (a)(1) revised; F S-8 amended; eff. 4-7-99.................11117
239.17a Form N-3 amended....................................27897, 45837
239.17b Form N-4 amended...........................................27897
239.18 Form S amended; eff. 9-30-00................................53910
239.24 Form N-5 amended..............................27897, 46837, 46838
239.25 Form S-4 amended............................................61451
239.31 Form F-1 amended; eff. 9-30-00..............................53910
239.32 Form F-2 amended; eff. 9-30-00..............................53910
239.33 Form F-3 amended; eff. 9-30-00..............................53910
239.34 Form F-4 amended; eff. 9-30-00..............................53911
Form F-4 amended...............................................61451
239.36 Form F-6 amended; eff. 9-30-00..............................53912
239.42 Heading revised; (e) and (f) amended; (g) added.............61402
Form F-X amended...............................................61403
239.63 Form ID amended.............................................56432
239.800 Added......................................................61403
240 Technical correction...........................................61962
240.3a12-8 (a)(1)(xviii) and (xix) amended; (a)(1)(xxi) added.....10567,
29553
Corrected...............................................31493, 32924
240.3b-4 Heading and (c) revised; eff. 9-30-00.....................53912
240.3b-6 (b)(2)(i) and (c)(3) amended; eff. 9-30-00................53912
240.10b-13 Removed.................................................61452
240.10b-18 (a)(15) and (d) added; (c) revised......................52433
240.13a-10 (g)(4) amended; eff. 9-30-00............................53912
240.13e-1 Revised..................................................61452
240.13e-3 (g)(6) added.............................................61403
(d), (e) and (f) heading revised; (g)(5) amended...............61452
240.13e-4 (h)(7) amended; (h)(8) redesignated as (h)(9); (h)(8)
and (i) added..............................................61403
Heading, (a)(4), (c), (d) and (e) revised; (b) redesignated as
(j); (a) introductory text, (3), (f)(12), (g) introductory text
and new (j)(2)(i) and (ii) amended; new (b) added..................61453

[[Page 52]]

240.13e-100 Revised................................................61454
240.13e-101 Removed................................................61456
240.13f-1 (a) redesignated as (a)(1); (a)(2) added..................2849
240.13f-2 Removed...................................................2849
240.14a-3 (e)(1) and (2) introductory text revised.................62546
240.14a-4 (f) amended..............................................61456
240.14a-6 (b), (c), (e)(2) and (j) revised; (b) note removed; (o)
added......................................................61456
240.14a-11 Removed.................................................61456
240.14a-12 Revised.................................................61456
240.14a-101 Amended............................1735, 27896, 61457, 73402
240.14c-3 (c) added................................................62547
240.14c-5 (b) and (d)(2) revised...................................61459
240.14c-7 Note 2 removed; Note 3 and Note 4 redesignated as Note 2
and Note 3.................................................62547
240.14d-1 (c) through (f) redesignated as (e) through (h); new (f)
amended; (c) and (d) added.................................61404
(g)(1) through (7) redesignated as (g)(2), (7), (5), (1), (9),
(3) and (6); (b) introductory text and new (g)(1) amended; new
(g)(4) and (8) added...............................................61459
240.14d-2 Revised..................................................61459
240.14d-3 (a)(1), (2), (ii), (3) introductory text and (c)
amended; (b) revised.......................................61460
240.14d-4 (b) and (c) redesignated as (c) and (d)(1); heading, (a)
introductory text, (3) and new (d) heading revised;
introductory text, (a) instruction, new (b) and (d)(2)
added; new (d)(1) amended..................................61460
240.14d-5 (c)(1) revised...........................................61460
240.14d-6 Revised..................................................61460
240.14d-7 (a) redesignated as (a)(1); (a)(2) added.................61461
240.14d-9 (d)(2) introductory text revised; (d)(2)(iii) added......61406
(a) through (f) redesignated as (b) through (g); heading and
new (b) introductory text revised; new (a) added...................61461
(b)(1), (2)(i), (3)(i), (c)(2), (d), (e)(1) introductory text,
(2), (2)(i) and (f)(4) amended.....................................61462
240.14d-11 Added...................................................61462
240.14d-100 Revised................................................61462
240.14d-101 Revised................................................61464
240.14e-1--240.14e-8 Note added....................................61465
240.14e-1 (c) revised..............................................61465
240.14e-2 (d) added................................................61406
240.14e-5 Added....................................................61465
240.14e-8 Added....................................................61466
240.15b1-1 (c) revised.............................................25147
240.15b3-1 (c) revised.............................................25147
(b) removed; (c) redesignated as (b); new (c) added............37593
(c)(4) added...................................................42595
240.15b6-1 Revised.................................................25147
(e) added......................................................42595
240.15b7-3T Added..................................................42028
240.15d-10 (g)(4) amended; eff. 9-30-00............................53912
240.15Ba2-2 (d) revised............................................25148
(e) added......................................................37594
(e)(4) added...................................................42596
240.15Bc3-1 Revised................................................25148
(e) added......................................................42596
240.15Ca1-1 (c) revised............................................25148
240.15Ca2-1 (b) removed; (c) redesignated as (b); new (c) added....37594
240.15Cc1-1 Revised................................................25148
(c)(4) added...................................................42596
(d) added......................................................42596
240.17a-4 (b)(11) correctly designated and corrected...............13066
240.17a-5 (g)(2) and (3) correctly added; CFR correction...........39918
240.17a-9T Added...................................................42029
240.17Ad-21T Added.................................................42029
249 Technical correction...........................................61962
249.220f Form 20-F amended..........................................1735
Form 20-F amended; eff. 9-30-00................................53912
249.325 Form 13F revised............................................2849
Form 13F corrected..............................................5865
249.326 Removed.....................................................2853
249.446 Form ID amended............................................56432
249.480 Added......................................................61406
249.501 Form BD revised............................................37594
Existing text designated as (a); (b) added.....................42596
249.501a Form BDW revised..........................................25149
Existing text designated as (a); (b) added.....................42596
259.602 Form ID amended............................................56432
260 Technical correction...........................................61962
260.0-11 (b)(2) and (c)(3) amended; eff. 9-30-00...................53925
260.4d-10 Added....................................................61406
269.7 Form ID amended..............................................56432
270 Compliance date extension................................5156, 24488
Authority citation amended.....................................46834

[[Page 53]]

270.8b-23 (a) revised..............................................27896
270.8b-32 (c) revised..............................................27896
270.8f-1 Revised...................................................19471
270.15a-4 Revised..................................................68023
270.17j-1 Revised..................................................46834
270.30d-1 (f) added................................................62547
270.30d-2 Revised..................................................62547
271 Interpretive releases..........................................59877
274.5 Form N-5 amended...............................27897, 46837, 46838
274.11 Form N-1 amended............................................27897
274.11a-1 Form N-2 amended..................................27897, 46837
274.11b Form N-3 amended....................................27897, 46837
274.11c Form N-4 amended...........................................27897
274.11A Form N-1A amended...................................27897, 46836
274.12 Form N-8B-2 amended.........................................46838
274.101 Form N-SAR amended.........................................27896
274.218 Revised....................................................19471
274.402 Form ID amended............................................56432
275.202 (a)(1)-1 amended............................................2567
275.203A-6 Added; eff. 5-3-99......................................15683
275.204-1 (c) added.................................................2567
275.204-2 (a)(12)(i) and (13)(i) revised; (a)(12)(ii), (iii),
(13)(ii) and (iii) redesignated as (a)(12)(iii), (iv),
(13)(iii) and (iv); new (a)(12)(iii)(B), (13)(iii)(B) and
(C) redesignated as (a)(12)(iii)(C), (13)(iii)(C) and (D);
new (a)(12)(ii), (iii)(B), (13)(ii) and (iii)(B) added.....46838
275.204-5 Added....................................................54312
279.1 Form ADV amended..............................................2121
Form ADV amended; eff. 12-31-99................................15683
Chapter IV
405.2 (a)(11) and (12) redesignated as (a)(15) and (16); new
(a)(11) through (14) added..................................1737

2000

17 CFR
65 FR
Page
Chapter I
1 Fee schedules....................................................46578
1.3 (tt) added.....................................................12469
(g), (m) and (v) added.........................................78008
Regulation at 65 FR 78008 withdrawn............................82272
1.4 Added..........................................................12469
1.10 (a)(2)(i)(B) in part, (ii)(C) in part and remaining (ii)(C)
redesignated as (a)(2)(i)(C), (ii)(E) and (D);
(a)(2)(i)(B) and new (a)(2)(i)(D) revised; (a)(2)(i)(C)
and new (ii)(C) added......................................78008
Regulation at 65 FR 78008 withdrawn............................82272
1.17 (c)(5)(v), (e)(1)(ii) and (h)(1)(iii) revised.................21311
(h)(2)(vii)(C) and (3)(vi) revised.............................51531
(c)(5)(xiii) revised...........................................66619
(a)(1)(ii) redesignated as (a)(1)(iii); (a)(1)(ii) and
(a)(2)(iii) added..................................................78009
Regulation at 65 FR 78009 withdrawn............................82272
1.20 (a) and (c) revised...........................................78009
1.25 Revised.......................................................78010
(a)(1)(vii), (b)(2)(i)(A) and (C) revised; (b)(2)(i)(D)
redesignated as (b)(2)(i)(E); new (b)(2)(i)(D) and (b)(4)(i)(D)
added..............................................................82271
1.26 Revised.......................................................78012
1.27 Amended.......................................................78013
1.28 Amended.......................................................78013
1.29 Amended.......................................................78013
1.33 (g) added.....................................................78013
Regulation at 65 FR 78013 withdrawn............................82272
1.37 (c) and (d) added.............................................77977
Regulation at 65 FR 77977 withdrawn............................82272
1.41(b) and (i) through (t) removed;(e) redesignated as (i);
(a)(1), (c), (d) and new (i) revised; (f) and (g) amended
77977
Regulation at 65 FR 77977 withdrawn............................82272
1.43 Removed.......................................................77979
Corrected......................................................80497
Regulation at 65 FR 77979 withdrawn............................82272
1.45 Removed.......................................................77979
Corrected......................................................80497
Regulation at 65 FR 77979 withdrawn............................82272
1.46 (a) introductory text and (e) revised; (d)(4) through (7) and
(9) removed................................................78013
Regulation at 65 FR 78013 withdrawn............................82272
1.50 Removed.......................................................77979
Corrected......................................................80497

[[Page 54]]

Regulation at 65 FR 77979 withdrawn............................82272
1.52 (m) added.....................................................78013
Regulation at 65 FR 78013 withdrawn............................82272
1.55 (d) and (f) revised...........................................78013
Regulation at 65 FR 78013 withdrawn............................82272
1.59 (a)(2) through (8) redesignated as (a)(4) through (10); new
(a)(2) and (3) added; heading, new (a)(4), (b)
introductory text, (1) introductory text, (i), (c) and (d)
revised....................................................47847
3 Authority citation revised.......................................78013
Regulation at 65 FR 78013 withdrawn............................78013
3.1 (a)(1) and (2) revised.........................................78013
Regulation at 65 FR 78013 withdrawn............................82272
3.10 (a)(1)(i) and (d) revised; (a)(2)(ii) removed; (a)(2)(i)
redesignated as (a)(2).....................................78014
Regulation at 65 FR 78014 withdrawn............................82272
3.21 (c) introductory text revised.................................78014
Regulation at 65 FR 78014 withdrawn............................82272
3.31 (a) redesignated as (a)(1); (a)(2) added......................78014
Regulation at 65 FR 78014 withdrawn............................82272
3.32 Removed.......................................................78014
Regulation at 65 FR 78014 withdrawn............................82272
3.34 Removed.......................................................78014
Regulation at 65 FR 78014 withdrawn............................82272
3 Appendix A amended...............................................78014
Appendix B amended.............................................78017
Regulations at 65 FR 78014 and 78017 withdrawn.................82272
4.2 (a) revised....................................................58649
4.5 (a)(4)(ii), (iii) and (iv) amended; (a)(4)(v) added............24128
(a)(4) corrected...............................................25980
4.7 Revised........................................................47854
4.10 (e)(1) revised................................................78018
Regulation at 65 FR 78018 withdrawn............................82272
4.14 (a)(5), (6), (7) and (8)(v)(D) amended; (a)(9) added..........12943
4.21 (a) revised...................................................58649
4.22 (f)(1) introductory text, (i) through (v), (2) introductory
text, (i), (ii), (3) introductory text, (i) and (ii)
redesignated as (f)(1)(i) introductory text, (A) through
(E), (ii) introductory text, (A), (B), (iii) introductory
text, (A) and (B); new (f)(2) added........................81334
4.24 (f)(1)(v) and (h)(2) revised..................................78018
Regulation at 65 FR 78018 withdrawn............................82272
4.26 (a), (b) and (d) revised......................................58649
4.32 Added.........................................................78018
Regulation at 65 FR 78018 withdrawn............................82272
4.34 (f)(1)(ii) and (h) revised....................................78018
Regulation at 65 FR 78018 withdrawn............................82272
4.36 (d) revised...................................................58650
5 Fee schedules....................................................46578
Heading revised................................................77979
Regulation at 65 FR 77979 withdrawn............................82272
5.1 Revised........................................................77979
Regulation at 65 FR 77979 withdrawn............................82272
5.2 Revised........................................................77979
Regulation at 65 FR 77979 withdrawn............................82272
5.3 Revised........................................................77979
Regulation at 65 FR 77979 withdrawn............................82272
5 Appendices C and D removed.......................................77981
Regulation at 65 FR 77981 withdrawn............................82272
15 Authority citation revised......................................77981
15.03 Revised; eff. 5-16-00........................................14457
15.05 Heading revised; (e) through (h) added.......................77981
Regulation at 65 FR 77981 withdrawn............................82272
16.02 Removed; eff. 5-16-00........................................14458
16.03 Removed; eff. 5-16-00........................................14458
17.01 (b)(3)(ii) and (c) removed; (b)(3)(iii) revised; eff. 5-16-
00.........................................................14458
30 Order...........................................................60560
30.1 (d) and (e) added.............................................47280
30.6 (b) revised...................................................47859
30.12 Added........................................................47280
30 Appendix B revised..............................................60558
35 Revised.........................................................78034
Regulation at 65 FR 78034 withdrawn............................82272
36 Revised.........................................................77981

[[Page 55]]

Regulation at 65 FR 77981 withdrawn............................82272
37 Added...........................................................77982
Regulation at 65 FR 77982 withdrawn............................82272
38 Added...........................................................77987
Regulation at 65 FR 77987 withdrawn............................82272
39 Added...........................................................78025
Regulation at 65 FR 78025 withdrawn............................82272
140.72 (a) amended.................................................64137
140.73 (a) amended.................................................64137
140.91 (a)(7) added................................................78018
Regulation at 65 FR 78018 withdrawn............................82272
140.99 (i)(A) and (B) redesignated as (i)(1) and (2); new (i)(1)
amended....................................................47859
143 Authority citation revised.....................................45711
143.8 (a) and (c) revised..........................................45711
146 Authority citation revised.....................................53560
146.11 (a) introductory text revised...............................53560
155.2 Amended......................................................78019
Regulation at 65 FR 78019 withdrawn............................82272
155.3 Amended......................................................78019
Regulation at 65 FR 78019 withdrawn............................82272
155.4 Amended......................................................78019
Regulation at 65 FR 78019 withdrawn............................82272
155.5 Amended......................................................78019
Regulation at 65 FR 78019 withdrawn............................82272
155.6 Added........................................................78019
Regulation at 65 FR 78019 withdrawn............................82272
166 Authority citation amended.....................................78019
Regulation at 65 FR 78019 withdrawn............................82272
166.5 Added........................................................78019
Regulation at 65 FR 78019 withdrawn............................82272
170.8 Revised......................................................77992
Regulation at 65 FR 77992 withdrawn............................82272
180 Removed........................................................77992
Regulation at 65 FR 77992 withdrawn............................82272
180.3 (b)(2)(vi) revised...........................................47859
Chapter II
200.30-5 (e) introductory text revised; (e)(7) added...............57447
200.30-11 (b)(2) revised...........................................57448
200.30-14 (l) added................................................12469
200.80--200.83 (Subpart D) Authority citation revised..............55182
200.80 (b)(7)(ii) removed; (a)(3), (4), (b)(7)(i) introductory
text and (A) through (F) redesignated as (a)(4), (5),
(b)(7) introductory text and (i) through (vi); (a)(2)
introductory text, (iv), (v), new (4), (b)(4)(ii), new
(7)(iv) and (8) amended; (a)(2)(vi) and new (3) added......55182
(c)(1) introductory text, (i), (iii), (2), (d)(1) and (7)
introductory text amended; (d)(5), (6) introductory text and (ii)
revised............................................................55183
(d)(8) introductory text and (e)(4) revised; (d)(9) heading
and (i) removed; (d)(9)(ii) redesignated as (d)(9); (e)
introductory text, (1), (3), (7)(i), (ii) and (8)(iii) amended.....55184
200.83 (c)(2) through (6) revised; (c)(7) and (8) added............55184
(e)(1) revised; (g), (h) and (i) redesignated as (h), (i) and
(j); (d)(1), (e)(2) through (5) and new (h)(1), (2) and (i)
amended; new (g) and (k) added.....................................55185
200.303 (a) introductory text amended..............................55185
(a)(2), (3) and (b)(2) amended; (a)(4) revised.................55186
200.306 (a) introductory text revised..............................55186
200.308 (a)(1) introductory text, (9)(ii) and (b)(1) amended;
(a)(2) revised.............................................55186
200.310 (a) and (b) amended........................................55186
200.312 (a)(1) through (6) revised; (a)(7) and (8) removed.........55186
210 Heading and authority citation revised.........................76082
210.2-01 Note, (d), (e) and (f) added; (b) and (c) revised.........76082
210.3-10 Revised...................................................51707
210.3-16 Added.....................................................51710
211 Staff accounting bulletin......................................16811
Staff accounting bulleting.....................................40993
Interpretive release and Staff Accounting Bulletin.............51710
228.310 Note 3 redesignated as Note 5; new Notes 3 and 4 added.....51710

[[Page 56]]

228.601 (a) table amended; (b)(27) and (28), (c) and Appendixes A
through F removed..........................................24799
229.601 (a) table amended; (b)(27) and (28), (c) and Appendixes A
through F removed..........................................24799
230 Authority citation amended.....................................47284
230.110 (b) revised................................................24799
230.154 (e) removed................................................65749
230.160 Added......................................................47284
230.237 Added......................................................37676
230.483 Heading revised; (e) removed...............................24799
231 Interpretive releases...................................25853, 47284
232 Technical correction............................................6444
232.11 Amended.....................................................24800
232.12 (b) and (c) revised.........................................24800
232.103 Revised....................................................24800
232.104 (b) revised; (f) added.....................................24800
232.105 (a), (b) and (c) revised...................................24800
232.301 Revised.......................................3124, 34080, 39087
232.302 (a) revised................................................24800
232.303 (a)(4) removed.............................................24800
232.304 (a) amended; (a) note, (e) and (f) added; (d) revised......24800
232.311 (c) removed; (d) through (i) redesignated as (c) through
(h)........................................................24801
232.401--232.402 Undesignated center heading and sections removed
24801
232.501 Introductory text revised..................................24801
239.12 Form S-2 amended............................................24801
239.13 Form S-3 amended............................................24801
239.16b Form S-8 amended...........................................24801
239.62 Form ET amended.............................................24802
Chapter II
240.0-2 (b) revised................................................24801
240.9b-1 (a)(3), (b)(2)(i), (ii), (c) and (d) revised..............64139
240.10b5-1 Added...................................................51737
240.10b5-2 Added...................................................51738
240.11Ac1-1 (a)(5), (20) and (d) revised; (b)(3)(i) amended;
(a)(26) through (30) and (e) added.........................75461
240.11Ac1-4 (a)(10) revised........................................75462
240.11Ac1-5 Added..................................................75436
240.11Ac1-6 Added..................................................75436
240.11Ac1-7 Added..................................................75462
240.12f-2 (a) revised..............................................53565
240.12g3-2 (a) revised.............................................37676
240.12h-5 Added....................................................51711
240.14a-2 (a)(1)(ii) revised.......................................65749
240.14a-3 (e)(1) revised...........................................65750
240.14a-7 (a)(2)(i) and (ii) revised; note designated as note 1
and amended; Note 2 added..................................65750
240.14a-101 Amended.........................................65751, 76087
240.14b-1 (b)(2) note and (c)(3) added.............................65751
240.14b-2 (b)(3) note and (c)(4) added.............................65751
240.14c-3 (c) revised..............................................65751
240.14c-101 Amended................................................65751
240.17a-4 (b)(1) revised...........................................13235
240.17a-24 Removed.................................................36610
240.17Ac2-2 Revised................................................36610
241 Interpretive releases...................................25856, 46588
242.301 (b)(4) amended.............................................13235
(b)(5)(i)(D), (E), (6)(i)(D) and (E) stayed eff. 4-1-00
through 12-1-00....................................................18888
(b)(5)(i)(D), (E), (6)(i)(D) and (E) stayed eff. 12-1-00
through 12-1-00....................................................76572
243 Added..........................................................51738
248 Added..........................................................40362
249 Authority citation amended.....................................51739
249.220f Form 20-F amended.........................................51711
249.308 Amended; Form 8-K amended..................................51739
249.445 Form ET amended............................................24802
249b.1202 Form TA-2 revised........................................36610
250.21 (b)(1) revised..............................................24801
250.87 (b) corrected; CFR correction...............................52644
259.5s Form U5S amended............................................24801
259.101 Form U-1 amended...........................................24801
259.313 Form U-13-60 amended.......................................24802
259.402 Form U-3A-2 amended........................................24802
259.601 Form ET amended............................................24802
260.0-5 (b) revised................................................24802
269.6 Form ET amended..............................................24802
270 Technical correction...........................................15933
270.7d-1 (b)(8)(v) introductory text revised.......................25637
270.7d-2 Added.....................................................37677
270.8b-2 Introductory text amended.................................24802
270.8b-23 (a) amended..............................................24802
270.8b-32 (c)(1) designation and (2) removed.......................24802
270.17f-4 (b) introductory text revised............................25637
270.17f-5 Revised..................................................25637
270.17f-7 Added....................................................25638
270.17j-1 Corrected................................................12943
271 Interpretive releases............................25857, 46588, 47284

[[Page 57]]

274.101 Form N-SAR amended.........................................24802
274.401 Form ET amended............................................24802
275 Authority citation amended.....................................57448
275.0-2 Revised....................................................57448
275.0-7 (a)(1) and (b)(1) revised..................................57448
275.203-1 Revised..................................................57448
(b)(2) note corrected..........................................81737
275.203-2 Revised..................................................57449
275.230-3 Added....................................................57449
(a)(1), (2)(i), (3), (b)(2), (3) and note corrected............81738
275.203A-1 Revised.................................................57449
275.203A-2 (b)(3) amended; (d)(2), (3), (e)(2), (3) and (4)
revised....................................................57450
275.204-1 Revised..................................................57450
(c) note corrected.............................................81738
275.204-5 Removed..................................................57450
279.1 Form ADV revised.............................................57451
Form ADV corrected.............................................81378
279.2 Form ADV-W revised...........................................57451
Form ADV-W corrected...........................................81378
279.3 Added........................................................57451
Form ADV-H corrected...........................................81378
279.4 Revised......................................................57451
Form ADV-NR corrected..........................................81379
279.5 Removed......................................................57451
279.6 Removed......................................................57451
279.7 Removed......................................................57451
279.9 Removed......................................................57451
279 Appendixes A and B corrected...................................81738
279 Appendix B corrected...........................................81739