[List of CFR Sections Affected (LSA), 1986-2000, Volume I (Titles 1 through 16)] [From the U.S. Government Printing Office, www.gpo.gov] Title 12 1986 12 CFR 51 FR Page Chapter I 1 Rulings..........................................................29085 3 Policy statement.................................................15305 5.1 Existing text designated as (a); (b) added.....................44594 5.4 Amended........................................................44594 5.5 (b) amended....................................................44594 5.8 (a) and (b) amended............................................44594 5.9 (a) amended; (b) revised.......................................44594 5.10 (a), (b)(1), (3), and (4) and (c) amended.....................44594 5.11 (a) introductory text and (2), (b), (c), (f) and (g) amended 44594 5.12 Revised.......................................................44594 5.20 (f) amended...................................................44594 5.21 (d), (g), (h) and (j)(2) amended; (e) revised.................44594 5.22 (c) amended...................................................44594 5.23 (c) amended...................................................44594 5.25 (c) amended...................................................44594 5.30 (f) and (h)(2) amended........................................44594 5.31 (f)(1) and (2), (g), (j)(1) and (2), and (k)(2) amended.......44594 5.32 (c) amended...................................................44594 5.33 (d) revised; (i)(2) amended...................................44594 5.41 (c) amended...................................................44594 5.43 (c) amended...................................................44594 5.48 (c), (e), and (f) amended.....................................44594 5.50 (d)(3), (f)(2) introductory text, (g)(1) (iii) and (v), (2), (3)(iv), and (4)(i) introductory text, and (h) revised; OMB numbers................................................25864 7 Authority citation revised.......................................25871 7.5225 Removed.....................................................25871 11.102 (ii)(4) note amended.........................................4888 11.105 (c) amended..................................................4888 11.106 (b)(2)(iii) amended..........................................4888 11.202 (b) amended..................................................4888 11.390 Amended......................................................4888 Corrected.......................................................4890 11.392 Amended......................................................4888 11.401 (b)(1) introductory text, (2), (3)(i)(A), and (C) amended 4888 (a), (b)(1) introductory text, (3)(ii), and (c) corrected.......4890 11.402 (b) corrected................................................4890 11.403 (d)(1)(i) and (ii) and (3)(ii) amended.......................4888 (d)(3)(iii)(B) corrected........................................4890 11.405 (b)(2)(iii) corrected........................................4890 11.410 (e)(3) and (g)(2) and (3) amended............................4888 (f) corrected...................................................4890 11.411 (b)(2), (c)(5)(v), (d)(1), (2), (4), and (5) amended; (i) redesignated as 11.412 (d)..................................4888 (c)(4)(ii) corrected............................................4890 11.412 (b)(1)(1) and (2) redesignated as (b)(1)(i) and (ii); (d) redesignated from 11.411 (i)................................4889 11.490 Corrected....................................................4890 11.491 Amended......................................................4889 11.504 (b)(4)(i) corrected..........................................4890 11.507 (b)(2)(A) and (B) redesignated as (b)(2)(i) and (ii).........4889 11.511 (d) amended..................................................4889 11.590 Amended......................................................4889 Corrected.......................................................4890 11.592 Amended......................................................4889 11.602 (b) amended..................................................4889 11.603 (a)(3) amended...............................................4889 11.611 (b) amended..................................................4889 11.690 Corrected....................................................4890 11.691 Corrected....................................................4890 11.724 (d)(2) amended...............................................4889 11.832 (c)(1)(ii)(B)(5)(i) amended..................................4889 11.841 (a), (d)(1), and (e) amended.................................4889 (a), (c), and (g) corrected.....................................4890 11.842 (b) corrected................................................4891 11.843 (b) Instructions corrected...................................4891 11.844 (c)(1)(iv)(D), (E), and (F) and Instructions amended.........4889 (a), (b)(1)(i), (2)(i), and (c) Instructions and Section Instructions corrected..............................................4891 11.911 (e) corrected................................................4891 11.912 (b) corrected................................................4891 11.931 Assets corrected.............................................4891 16.2 (g) amended...................................................18770 16.4 (b) and (f) amended...........................................18770 [[Page 570]] 16.6 (b) amended...................................................18770 17 Removed.........................................................29090 21 Heading and authority citation revised..........................25871 21.0--21.7 (Subpart A) Heading added...............................25871 21.0 Heading revised...............................................25871 21.5 (c) revised...................................................25871 21.11 (Subpart B) Added............................................25871 22 Authority citation revised......................................18307 22.0 Revised.......................................................18307 22.1 (b) and (d) revised...........................................18307 22.3 Revised.......................................................18307 22 Appendix amended................................................18308 32 Policy statement................................................15305 32.8 Added.........................................................15304 Technical correction...........................................19164 Revised........................................................39642 Chapter II 201 Authority citation revised..............................11903, 16673 201.51 Revised................................11903, 16673, 26543, 30847 201.52 Revised................................11903, 16673, 26543, 30847 201.53 Removed.....................................................11904 204 Authority citation revised.....................................43176 204.2 Introductory text, (b) through (e), (f)(1) (i), (ii), and (v) revised; (f)(3) added...................................9632 (h)(1)(ii)(A) first footnote 1, (h)(2)(ii) second footnote 1, and (t)(1) footnote 2 redesignated as footnotes 10, 11, and 12; new (h)(2)(ii) footnote 11 revised..................................9635 204.3 (a)(3)(i) and (h) revised.....................................9635 204.4 (a) amended; (b) and (c) removed; (d) through (g) redesignated as (b) through (e); new (b), (c)(2)(ii), (d)(2), and (e)(1) and (2) (i) and (iii) amended............9636 204.8 (a)(2)(i)(B)(5) and (3)(v) and (e) amended....................9636 204.9 (a) revised..................................................43176 205 Supplement II amended..........................................13485 207 OTC margin stock list......................3939, 15757, 27519, 39643 207.112 Added.......................................................1781 210.2 Text amended; footnote 1 revised.............................21744 210.3 (e) added....................................................21744 210.5 (a)(2), (b), and (c) revised.................................21745 210.6 (a)(1) revised; (c) added; eff. in part 1-1-90...............21745 210.9 (a)(2) amended; eff. 1-1-87..................................21745 210.12 (c)(10) revised; (c)(11) added..............................21745 210.38 (b) revised and redesignated as (b)(1); (b)(2) added; eff. in part 1-1-90.............................................21745 211.5 (c)(2) amended...............................................25359 217 Authority citation revised......................................9637 217.0 Redesignated as 217.1 and revised.............................9637 217.1 Redesignated as 217.2; new 217.1 redesignated from 217.0 and revised.....................................................9637 217.2 Redesignated as 217.3; new 217.2 redesignated from 217.1......9637 Revised.........................................................9638 217.3 Removed; new 217.3 redesignated from 217.2....................9637 Revised.........................................................9638 217.4 (d) temporarily suspended in part.............................8478 Removed.........................................................9637 Added...........................................................9638 217.5 Removed.......................................................9637 217.7 Removed.......................................................9637 220 OTC margin stock list......................3939, 15757, 27519, 39643 221 OTC margin stock list......................3939, 15757, 27519, 39643 224 OTC margin stock list......................3939, 15757, 27519, 39643 225 Authority citation revised.....................................36211 225.25 (b)(8) revised..............................................36211 (b)(9) removed; (b) (10) and (11) footnotes 8 through 10 redesignated as 12 through 14......................................36212 (b)(13) revised; (b)(19) through (24) added....................40000 225.128 Removed....................................................36212 225.135 Removed....................................................36212 225 Appendix A amended.............................................40969 226.23 (f)(2) revised..............................................45299 Effective date corrected.......................................47106 226 Supplement I amended...........................................11424 Supplement I corrected.........................................18876 227.11--227.16 (Subpart B) Staff guidelines........................39646 Exemption granted in part......................................41763 265 Authority citation revised.....................................18877 265.2 (c)(34) added.................................................7056 (a)(2) revised.................................................18876 (b)(10) redesignated as (b)(11); new (b)(10) added.............19825 (c)(35) and (f)(48) added......................................45877 Chapter III 303.0 (b)(7) added.................................................27827 303.4 (b) revised..................................................10803 [[Page 571]] 303.12 (c)(3)(iv), (7), and (12) revised...........................27827 304 Revised........................................................36684 308.81 Revised......................................................8643 309.4 (c)(2) removed; (c)(3) redesignated as (c)(2); (d) revised 10804 309.6 (c) introductory text and (7)(iv) corrected..................47208 329 Revised........................................................10808 330.0 Revision at 49 FR 13010 withdrawn..............................731 330.1 (b)(3) removed...............................................21138 330.2 Revision at 49 FR 13010 withdrawn..............................731 330.10 Revision at 49 FR 13010 withdrawn.............................731 330.13 Addition at 49 FR 13010 withdrawn.............................731 337 Authority citation revised.....................................23406 Authority citation corrected...................................29630 337.4 (h) revised....................................................880 (h)(3) revised..........................................23406, 45756 346.20 (a) correctly revised.......................................24302 347.3 (a) (1), (2), and undesignated text correctly removed........47209 352 Added...........................................................9643 353 Added..........................................................16486 Chapter IV 410 Added.....................................................4575, 4579 410.103 Corrected...................................................7543 410.150 (c) corrected...............................................7543 410.170 (c) revised...............................................4575 0 Chapter V 500 Authority citation revised.....................................27165 500.15 Added........................................................8791 500.17 Revised......................................................8791 500.18 Removed.....................................................27165 500.31 Amended.....................................................33584 500.40 Authority citation removed..................................27165 501 Authority citation revised.....................................27165 501.10 (d) added...................................................28221 501.11 Amended.....................................................27165 Revised........................................................28221 505a Authority citation revised....................................45879 505a.13 Added......................................................45879 505d Authority citation revised....................................15876 505d.1 (b) correctly revised.......................................15876 512 Authority citation revised......................................8791 512.5 (a) amended; authority citation removed.......................8791 522 Authority citation revised.....................................27165 Section authority citations removed............................27166 522.62 Added.......................................................28222 Correctly designated...........................................28690 522.90 Added.......................................................27165 523.2 Removed......................................................28222 524 Authority citation revised.....................................34951 524.1 Authority citation removed...................................34951 524.7 Authority citation removed...................................34951 524.13 Revised.....................................................34951 526 Revised........................................................10816 526.2 (h) revised..................................................34951 531 Authority citation revised.....................................10816 531.1 (a) and (d) amended..........................................33584 531.10 Removed; new 531.10 redesignated from 531.11 and authority citation removed...........................................10816 531.11 Redesignated as 531.10 and authority citation removed.......10816 532 Authority citation revised.....................................10816 532.1 Amended...............................................10816, 34951 535 Exemption......................................................45879 541.17 Amended.....................................................33584 543 Authority citation revised; section authority citations removed....................................................40147 543.2 (h)(3) revised...............................................40147 543.11-1 (c) amended...............................................33584 545 Authority citation revised........................9178, 10817, 30851 Section authority citations removed............................30851 545.11 (a) revised.................................................10817 545.12 Revised.....................................................10817 545.13 (a) amended.................................................30851 545.14 (a) revised.................................................10817 545.16 (c) revised.................................................10817 545.21 (a)(1) revised..............................................10817 545.38 (b)(3) amended..............................................33584 545.73 (a) amended.................................................33584 545.74 (b)(3)(i), (c)(3)(viii), and (d)(2) and (4) amended.........33584 (c)(5)(viii) amended; (c)(5)(ix) added.........................34952 545.77 (a) amended.................................................33584 545.79 Revised..............................................10817, 34952 545.82 (c)(2), (d)(4)(ii)(B), and (f)(3)(i) amended................33584 545.102 Revised.....................................................9178 545.115 (a) amended................................................33584 546 Authority citation revised; section authority citations removed....................................................40147 546.2 (h)(1)(xii) amended..........................................33584 (i)(1)(vi) and (vii) added.....................................40147 550.2 (c)(2) and (4) amended.......................................33584 [[Page 572]] 552 Authority citation revised; section authority citations removed....................................................40147 552.2-2 (d) revised................................................40147 552.4 (b)(8) amended...............................................40147 555 Authority citation revised.....................................10817 555.8 (c) revised..................................................10817 556 Authority citation revised.....................................16291 556.5 (a)(3) (v) and (vi) added; authority citation removed........16291 (a)(1) through (3)(iv) revised.................................16505 (b)(2) amended.................................................33584 556.7 Revised......................................................34952 556.9 Authority citation removed...................................16291 561 Authority citation revised.....................................10817 Authority citation revised; section authority citations removed............................................................33584 561.2a Heading corrected............................................6394 561.11 Revised.....................................................10817 561.11a Revised....................................................10817 561.11b Amended....................................................10818 561.11c Amended....................................................10818 561.11d Amended....................................................10818 561.11e Amended....................................................10818 561.11f Added......................................................10818 561.11g Added......................................................10818 561.13 Heading and (a) revised; (b), (c), (d), (e), and (f) amended....................................................33584 561.18 Added.......................................................33584 561.19 Added.......................................................33584 562 Authority citation revised.....................................40147 562.3 Authority citation removed...................................40147 562.4 Authority citation removed...................................40147 562.5 Authority citation removed...................................40147 562.7 Existing text designated as (a); new (b) added...............40147 563 Authority citation revised.........................731, 10818, 15877 Authority citation revised; section authority citations removed............................................................33584 563.1 (a)(1) and (b)(2) amended; authority citation removed........10819 563.3-1 Revised; authority citation removed........................10819 563.3-2 Added......................................................10819 563.3-3 (d)(3) and (f) removed; (d)(4) and (g) redesignated as (d)(3) and (f); new (f) amended............................10819 Authority citation removed.....................................10819 563.3-10 (b)(2), (c)(1)(i) and (3)(v), and (d) amended.............33584 563.4 (b), (c), and (d) amended....................................33584 563.6 Revised......................................................10819 563.7-2 Authority citation removed.................................10820 563.7-4 (i)(2)(v)(c), (vii)(b), and (x) amended....................33584 563.7-5 (a), (b), and (d)(1)(iii) amended..........................33584 563.8 (e) amended..................................................33584 563.8-1 (b)(2)(i) and (d)(1)(iv) amended...........................33584 563.8-4 (b)(5), (6), and (7) amended...............................33584 563.9-3 (a)(4), (b)(1) and (5), and (c) amended....................33584 563.9-4 Amended....................................................33584 563.9-6 Amended....................................................33584 563.9-8 (c)(2), (e), (f), and (g) amended..........................33584 (h) amended....................................................47003 563.13 (b)(2) revised; authority citation removed..................15877 Heading, (a)(1), and (b) revised; (a)(2), (c), (d), (e), and (f) amended........................................................33584 (e), (g), and (i) removed; (f) and (h) redesignated as (e) and (f)................................................................33587 563.13-1 Revised...................................................33587 563.13-2 (c) introductory text and (e)(3) amended..................33584 (c)(1) amended.................................................33588 563.15 (b)(1)(i) and (2) corrected..................................1246 563.17-1 (a)(2) correctly added......................................732 (c) revised....................................................30851 (c)(1)(viii), (5), (7), and (9) corrected......................33736 563.17-3 (c)(2) amended............................................33584 563.17-6 (b)(2) amended............................................33584 563.22 (e)(1)(xii) and (h)(1)(ii) amended..........................33584 (f)(1)(vi) added...............................................40148 563.31 Authority citation removed..................................10820 (b) revised....................................................26228 563.39-1 (c)(2) amended............................................33584 563b Authority citation revised; section authority citations removed....................................................40148 563b.1 (a)(2) amended..............................................33584 563b.2 (a)(1) through (36) redesignated as (a)(2) through (36) and (38); new (a)(1) and (37) added; (a)(5)(ii) revised........40148 [[Page 573]] 563b.3 (b)(2), (f)(1), and (g)(2) amended..........................33584 (c)(6)(i), (7) through (9), (d)(3) introductory text, (4), and (5), (f)(3), (g)(1), and (i)(3) and (6) revised; (c)(23) and (24) and (i)(5)(v) added................................................40148 (i)(8)(v) removed..............................................40150 563b.7 (a) and (e) revised.........................................40150 563b.10 (c) redesignated as (c)(1); (c)(2) added...................40150 563b.20 Revised....................................................40150 563b.21 Revised....................................................40150 563b.22 Redesignated as 563b.23 and revised; new 563b.22 added.....40151 563b.23 Redesignated as 563b.24....................................40150 Redesignated from 563b.22 and revised..........................40151 563b.24 Removed; new 563b.24 redesignated from 563b.23.............40150 Revised........................................................40151 563b.25 Removed; new 563b.25 added.................................40151 563b.26 (a) and (b) amended........................................33584 Revised........................................................40151 563b.27 (c) amended................................................33584 Revised........................................................40151 563b.28 Removed....................................................40151 Added..........................................................40152 563b.29 Revised....................................................40153 563b.30 Revised....................................................40153 563b.31 Removed....................................................40151 Added..........................................................40153 563b.32 (a) and (b) amended........................................33584 Removed........................................................40151 Added..........................................................40153 563b.33 Amended....................................................33584 Removed........................................................40151 563b.34 Revised....................................................40153 563b.35 Redesignated as 563b.36 and revised; new 563b.35 added.....40153 563b.36 (c)(1), (2), and (3) amended...............................33584 Redesignated as 563b.37 and revised; new 563b.36 redesignated from 563b.35 and revised...........................................40153 563b.37 (f) and (g) amended........................................33584 Redesignated as 563b.38 and revised; new 563b.37 redesignated from 563b.36 and revised...........................................40153 563b.38 Removed; new 563b.38 redesignated from 563b.37 and revised 40153 563b.39 Revised....................................................40154 563b.40 Revised....................................................40155 563b.41 Added......................................................40155 563b.101 Form PS corrected...........................................593 Form PS amended................................................33584 563c.10 (d)(2) amended.............................................33584 563c.102 Amended...................................................33584 563d.1 Amended......................................................7248 563d.2 Added........................................................7248 563g Revised........................................................8187 563g.3 (b) amended.................................................33584 563g.7 (a)(3) amended..............................................33584 563g.16 (b) amended................................................33584 563g.17 (d) amended................................................33584 564 Authority citation revised..............................10820, 12123 564.1 Authority citation removed...................................10820 564.2 Authority citation removed...................................10820 (b)(3) removed; (b) (4) and (5) redesignated as (b) (3) and (4)................................................................12123 564.8 Authority citation removed...................................12123 569a.1 Authority citation removed..................................35501 569a.6 (c) revised.................................................35501 569a.7 Authority citation removed..................................35501 570 Authority citation revised.....................................29459 570.4 Amended......................................................33584 570.11 Authority citation removed..................................29459 570.12 Authority citation removed..................................29459 570.13 Added.......................................................29459 571 Authority citation revised.....................................10820 Authority citation revised; section authority citations removed............................................................36529 571.1a (a) amended.................................................33584 571.5 (f) revised; authority citation removed......................10820 (c)(2) and (k)(3) amended......................................33584 (a) revised....................................................36529 571.6 (a)(2) and (d)(4) amended....................................33584 571.10 Revised.....................................................34952 572.1 (g)(1) and (j) amended.......................................33584 572.2 (c) amended..................................................33584 572a.5 (c)(2)(ii), (3), and (4) amended............................33584 574 Authority citation revised.....................................40155 574.2 (c)(3) revised...............................................40155 574.3 (c)(1)(vi) added.............................................40155 574.4 (d)(6) revised...............................................40155 574.8 (a) and (b)(1)(ii) amended...................................33584 (a)(1)(v) and (vi) added.......................................40156 [[Page 574]] 584 Authority citation revised; section authority citations removed....................................................34952 584.2-1 (b)(9) and (10) amended; (b)(11) added.....................34952 584.5-1 Amended....................................................33584 Chapter VI 600 Revised........................................................41933 Effective date corrected.......................................44408 601 Authority citation revised.....................................41935 601.100 (b) revised................................................41935 Effective date corrected.......................................44408 601.101 Revised....................................................41935 Effective date corrected.......................................44408 601.110 Introductory text, (a), (b), (d) (4) and (5), and (e) through (i) revised........................................41935 Effective date corrected.......................................44408 601.126 Revised....................................................41936 Effective date corrected.......................................44408 601.127 (c) and (e) revised........................................41936 Effective date corrected.......................................44408 601.130 Revised....................................................41936 Effective date corrected.......................................44408 601.140 Revised....................................................41936 Effective date corrected.......................................44408 601.141 Revised....................................................41936 Effective date corrected.......................................44408 601.150 Introductory text, (b), and (d) revised....................41936 Effective date corrected.......................................44408 601.165 (b) revised................................................41937 Effective date corrected.......................................44408 601.170 (a) (2), (3), and (4) revised..............................41937 Effective date corrected.......................................44408 601.171 Introductory text revised..................................41937 Effective date corrected.......................................44408 601.176 Revised....................................................41937 Effective date corrected.......................................44408 601.178 Revised....................................................41937 Effective date corrected.......................................44408 601.180 Revised....................................................41937 Effective date corrected.......................................44408 601.190 Removed....................................................41938 Effective date corrected.......................................44408 602 Authority citation revised...............................8656, 41938 602.200 Revised....................................................41938 Effective date corrected.......................................44408 602.205 Revised....................................................41938 Effective date corrected.......................................44408 602.210 Removed....................................................41938 Effective date corrected.......................................44408 602.215 Introductory text, (a), (b), (c), and (e) revised..........41938 Effective date corrected.......................................44408 602.220 Revised....................................................41938 Effective date corrected.......................................44408 602.235 Removed....................................................41938 Effective date corrected.......................................44408 602.240 Removed....................................................41938 Effective date corrected.......................................44408 602.245 Removed....................................................41938 Effective date corrected.......................................44408 602.250 (a) introductory text, (5), and (8) revised (effective date pending)...............................................8656 602.260 Revised....................................................41938 Effective date corrected.......................................44408 602.261 (a), (b), (c), and (d) introductory text revised...........41939 Effective date corrected.......................................44408 602.265 (c), (d)(2), and (e) revised...............................41939 Effective date corrected.......................................44408 602.280 Revised....................................................41939 Effective date corrected.......................................44408 602.281 (a) through (j) revised....................................41940 Effective date corrected.......................................44408 602.282 Revised....................................................41940 Effective date corrected.......................................44408 602.283 Revised....................................................41940 Effective date corrected.......................................44408 602.284 Revised....................................................41940 Effective date corrected.......................................44408 602.285 (b) revised................................................41940 Effective date corrected.......................................44408 602.286 Revised....................................................41940 Effective date corrected.......................................44408 602.288 (b) and (c) revised........................................41940 Effective date corrected.......................................44408 602.289 Revised....................................................41941 Effective date corrected.......................................44408 603 Authority citation revised.....................................41941 603.300 (a) and (b)(1) revised.....................................41941 Effective date corrected.......................................44408 603.305 Revised....................................................41941 Effective date corrected.......................................44408 603.310 Revised....................................................41941 Effective date corrected.......................................44408 603.315 Revised....................................................41941 Effective date corrected.......................................44408 603.320 (a) introductory text and (3), (b), (c), and (d) revised 41941 Effective date corrected.......................................44408 603.325 Revised....................................................41942 Effective date corrected.......................................44408 603.330 Revised....................................................41942 Effective date corrected.......................................44408 [[Page 575]] 603.335 Introductory text and (b) revised..........................41942 Effective date corrected.......................................44408 603.340 (a) through (d) revised....................................41942 Effective date corrected.......................................44408 604 Heading and authority citation revised.........................41942 604.300 Redesignated as 603.400 and revised........................41942 Effective date corrected.......................................44408 604.305 Redesignated as 604.405 and (b) revised....................41942 Effective date corrected.......................................44408 604.310 Redesignated as 604.410 and revised........................41942 Effective date corrected.......................................44408 604.315 Redesignated as 604.415 and revised........................41943 Effective date corrected.......................................44408 604.320 Redesignated as 604.420 and revised........................41943 Effective date corrected.......................................44408 604.325 Redesignated as 604.425 and (a) and (c) revised............41943 Effective date corrected.......................................44408 604.330 Redesignated as 604.430 and (a) and (c) revised............41943 Effective date corrected.......................................44408 604.335 Redesignated as 604.435 and (a), (c), (d), and (e) revised 41943 Effective date corrected.......................................44408 604.340 Redesignated as 604.440 and revised........................41944 Effective date corrected.......................................44408 604.400 Redesignated as 604.300 and revised........................41942 Effective date corrected.......................................44408 604.405 Redesignated from 604.305 and (b) revised..................41942 Effective date corrected.......................................44408 604.410 Redesignated from 604.310 and revised......................41942 Effective date corrected.......................................44408 604.415 Redesignated from 604.315 and revised......................41943 Effective date corrected.......................................44408 604.420 Redesignated from 604.320 and revised......................41943 Effective date corrected.......................................44408 604.425 Redesignated from 604.325 and (a) and (c) revised..........41943 Effective date corrected.......................................44408 604.430 Redesignated from 604.330 and (a) and (c) revised..........41943 Effective date corrected.......................................44408 604.435 Redesignated from 604.335 and (a), (c), (d), and (e) revised....................................................41943 Effective date corrected.......................................44408 604.440 Redesignated from 604.340 and revised......................41944 Effective date corrected.......................................44408 611 Authority citation revised..............................32441, 41944 611.100 Revised....................................................41944 Effective date corrected.......................................44408 611.200 (Subpart B) Removed........................................41944 Effective date corrected.......................................44408 611 (Subpart C) Removed............................................41944 Effective date corrected.......................................44408 611.400 (a) revised................................................41944 Effective date corrected.......................................44408 611.500 (Subpart E) Added..........................................41944 Effective date corrected.......................................44408 611.1000 Revised...................................................41944 Effective date corrected.......................................44408 611.1010 (i) revised...............................................41945 Effective date corrected.......................................44408 611.1090 Revised (effective date pending)..........................32441 Eff. 10-13-86..................................................37549 611.1115 Removed (effective date pending)..........................32441 Eff. 10-13-86..................................................37549 611.1120 (b) and (c) revised.......................................41945 Effective date corrected.......................................44408 611.1121 Introductory text, and (b), (c), and (d) revised (effective date pending)...................................32441 Eff. 10-13-86..................................................37549 611.1122 (a) introductory text, (3), (b), (c), (e) introductory text, (4), (g) and (i) revised (effective date pending)....32441 Eff. 10-13-86..................................................37549 611.1123 (a) introductory text and (7) revised (effective date pending)...................................................32442 Eff. 10-13-86..................................................37549 611.1124 Revised (effective date pending)..........................32442 Eff. 10-13-86..................................................37549 611.1125 Revised (effective date pending)..........................32443 Eff. 10-13-86..................................................37549 611.1130 Redesignated from 611.1145.................................8666 (d) revised....................................................41945 Effective date corrected.......................................44408 611.1135 Redesignated from 611.1150.................................8666 [[Page 576]] (a), (b) (2) and (7), (c), (d)(1) introductory text, (iv), and (2), and (e) revised...............................................41945 Effective date corrected.......................................44408 611.1136 Redesignated from 611.1151.................................8666 611.1140--611.1142 (Subpart J) Added................................8666 Comment time extended...................................16291, 21331 611.1141 (b) introductory text corrected...........................10353 611.1142 (c) revised...............................................16292 (h), (l)(9), and (m) added.....................................21334 611.1145 Redesignated as 611.1130...................................8666 611.1150 (b)(3)(xii) removal eff. 12-15-85..........................2472 Redesignated as 611.1135........................................8666 611.1151 Redesignated as 611.1136...................................8666 611.1155--611.1158 (Subpart K) Added (effective date pending)......32443 Eff. 10-13-86..................................................37549 611.1160--611.1168 (Subpart J) Redesignated as Subpart L............8666 611.1160--611.1168 (Subpart L) Redesignated from Subpart J..........8666 611.1160 Revised (effective date pending)..........................32444 Eff. 10-13-86..................................................37549 611.1161 Revised (effective date pending)..........................32444 Eff. 10-13-86..................................................37549 611.1165 Revised (effective date pending)..........................32445 Eff. 10-13-86..................................................37549 611.1167 Revised (effective date pending)..........................32445 Eff. 10-13-86..................................................37549 611.1168 Revised...................................................41945 Effective date corrected.......................................44408 611.1170--611.1176 (Subpart K) Redesignated as Subpart M............8671 611.1170--611.1176 (Subpart M) Redesignated from Subpart K..........8671 611.1170 Revised (effective date pending)..........................32446 Eff. 10-13-86..................................................37549 611.1174 (c) and (d)(5) revised....................................41946 Effective date corrected.......................................44408 611.1175 Revised (effective date pending)..........................32446 Eff. 10-13-86..................................................37549 611.1176 Revised...................................................41946 Effective date corrected.......................................44408 611.1180--611.1183 (Subpart N) Added (effective date pending)......32447 Eff. 10-13-86..................................................37549 612 Authority citation revised.....................................41946 612.2130 (p) and (t) revised.......................................41946 Effective date corrected.......................................44408 612.2150 (c) introductory text revised.............................41946 Effective date corrected.......................................44408 612.2200 Heading and (a) revised...................................41946 Effective date corrected.......................................44408 612.2220 Revised...................................................41946 Effective date corrected.......................................44408 613 Authority citation revised.....................................41947 613.3170 (b) revised...............................................41947 Effective date corrected.......................................44408 614 Authority citation revised..............................39500, 41947 614.4010 Removed...................................................41947 Effective date corrected.......................................44408 614.4015 Removed...................................................41947 Effective date corrected.......................................44408 614.4020 Removed...................................................41947 Effective date corrected.......................................44408 614.4260 (c)(5) revised............................................41947 Effective date corrected.......................................44408 614.4330 (c)(12) removal, (d) introductory text revision, and (d)(5) addition eff. 1-21-86................................4891 614.4365--614.4367 (Subpart K) Added...............................39500 614.4440--614.4444 (Subpart L) Heading revised.....................39501 614.4440 Revised...................................................39501 614.4441 Revised...................................................39502 614.4442 Revised...................................................39502 614.4443 Added.....................................................39502 614.4444 Added.....................................................39502 614.4450 Revised...................................................41947 Effective date corrected.......................................44408 614.4460 (a), (c), and (d) revised.................................41947 Effective date corrected.......................................44408 614.4510 (d) introductory text, (1), and (2) revised...............39502 614.4512 Removed...................................................39502 614.4513 Added.....................................................39502 614.4590 Revised...................................................41947 Effective date corrected.......................................44408 614.4710 Introductory text, (a)(1) introductory text and (ii), (2), (3), and (4), (d) (1) and (2), and (e) revised........41947 Effective date corrected.......................................44408 614.4900 (i) revised...............................................41948 [[Page 577]] Effective date corrected.......................................44408 615 Authority citation revised.....................................41948 615.5150 Revision eff. 1-31-86......................................4891 615.5250 (b) revised...............................................41948 Effective date corrected.......................................44408 615.5255 Added.....................................................39503 615.5453 Revised...................................................41948 Effective date corrected.......................................44408 615.5495 (b) revised...............................................41948 Effective date corrected.......................................44408 617 Heading and authority citation revised.........................41948 Effective date corrected.......................................44408 617.7000--617.7090 (Subpart A) Heading revised.....................41948 Effective date corrected.......................................44408 617.7000 Revised...................................................41948 Effective date corrected.......................................44408 617.7020 Revised...................................................41948 Effective date corrected.......................................44408 617.7030 Revised...................................................41948 Effective date corrected.......................................44408 617.7050 Removed...................................................41949 Effective date corrected.......................................44408 617.7060 Removed...................................................41949 Effective date corrected.......................................44408 617.7070 Introductory text and (a) revised.........................41949 Effective date corrected.......................................44408 617.7080 Revised...................................................41949 Effective date corrected.......................................44408 617.7100 Removed...................................................41949 Effective date corrected.......................................44408 618 Authority citation revised..............................39503, 41949 618.8010 Removed...................................................39503 618.8020 Removed...................................................39503 618.8100 Introductory text revised.................................41949 Effective date corrected.......................................44408 618.8150 Removed...................................................41949 Effective date corrected.......................................44408 618.8160 (a) and (b) revised.......................................41949 Effective date corrected.......................................44408 618.8200 Removed...................................................41949 Effective date corrected.......................................44408 618.8310 Revised...................................................39503 618.8340 (c) revised...............................................41949 Effective date corrected.......................................44408 618.8325 Added.....................................................39504 618.8350 Removed...................................................41949 Effective date corrected.......................................44408 618.8400 Revised...................................................41950 Effective date corrected.......................................44408 618.8410 Revised...................................................41950 Effective date corrected.......................................44408 620 Added (effective date pending)..................................8656 Authority citation revised..............................21340, 42086 620.1 (c) revised..................................................42086 620.2 (b) revised; (k) added (effective date pending)..............21340 Eff. 7-29-86...................................................29459 620.3 (f)(1)(i) and (iii), (g)(1)(iii)(B) and (2)(i), and (i) revised (effective date pending)...........................21341 Eff. 7-29-86...................................................29459 (j)(2), (3)(i) introductory text and (ii) introductory text, (A), (B), (D), (E), (F), and (G) revised; (j)(3)(ii)(H) and (I) removed............................................................42087 (j)(3)(i) introductory text correctly designated and correctly revised............................................................44783 620.10--620.11 (Subpart B) Added (effective date pending)..........21341 Eff. 7-29-86...................................................29459 620.20 (c) revised (effective date pending)........................21343 Eff. 7-29-86...................................................29459 621 Added (effective date pending)..................................8661 Authority citation revised.....................................21340 621.2 (a)(15)(iii) revised (effective date pending)................21343 Eff. 7-29-86...................................................29459 (a)(15)(iv) removed; (a)(11), (15)(iii), and (18)(ii) revised 42087 (a)(11)(iii) and (15)(iii) correctly revised; (a)(11) republished........................................................44783 622 Added (effective date pending).................................21139 Eff. 7-28-86...................................................29460 623 Added (effective date pending).................................21147 Eff. 7-28-86...................................................29460 624 Added..........................................................46600 Chapter VII Chapter VII Interpretation and policy statement.............16292, 42083 701 Authority citation revised; section authority citations removed....................................................10360 701.27 Revised.....................................................10360 709 Removed........................................................33029 740 Revised........................................................37556 741 Authority citation revised.....................................27523 Revised........................................................37558 741.5 (b)(1) revised...............................................27523 745 Revised........................................................37560 [[Page 578]] 790 Authority citation revised; section authority citations removed....................................................33588 790.2 Revised......................................................33588 794 Added...................................................22889, 22896 794.170 (c) revised................................................22889 795.1 (b) table amended (OMB numbers)...............................4158 Chapter XII Chapter XII Removed.................................................9767 1201--1204 Removed..................................................9767 1987 12 CFR 52 FR Page Chapter I 4.1a (a), (b) (1), (2), and (3) introductory text and (vii) revised....................................................46062 5.1 (a) revised.....................................................5942 5.3 Revised.........................................................5942 21 Heading and authority citation revised...........................2859 Heading revised................................................28682 21.5 Revised.......................................................28682 (a) corrected..................................................31478 21.21 (Subpart C) Added.............................................2859 35 Added (temporary)...............................................41961 Chapter II 201.51 Revised.....................................................37436 201.52 Revised.....................................................37436 202 Determination..................................................35537 202 Supplement I and Appendix B amended............................10733 203 Exemption terminated...........................................10365 204 Authority citation revised...............................2215, 46451 204.2--204.4 Authority citations removed............................2215 204.2 (a)(1)(v) and (vii)(C) amended...............................47694 (c)(1)(iv)(E), footnote 4 amended..............................47695 204.9 Authority citation removed....................................2215 (a) (1) and (2) revised........................................46451 204.122 (b) revised................................................47694 204.123 Amended....................................................47695 204.124 (a) amended................................................47695 204.125 Redesignated from 217.126 and revised......................47695 204.126 Redesignated from 217.137 and revised......................47695 204.127 Redesignated from 217.138 and revised......................47695 204.128 Redesignated from 217.146 and revised......................47696 204.129 Redesignated from 217.153 and revised......................47696 204.130 Redesignated from 217.157 and revised......................47696 204.131 Redesignated from 217.159 and revised......................47697 205.14 (a)(2) and (b) revised......................................30911 205 Supplement II amended..........................................10734 Appendix A amended.............................................30912 206 Removed........................................................49375 207 OTC margin stock list......................3218, 15941, 28538, 41963 208 Authority citation revised........................2859, 42090, 49375 208.14 Added........................................................2860 208.15 Added.......................................................42090 Addition comment time extended.................................46984 208.16 Added.......................................................49376 211 Authority citation revised.....................................30914 211.5 (f) added....................................................30914 217.101 Removed....................................................47698 217.103 Removed....................................................47698 217.105--217.112 Removed...........................................47698 217.113 Redesignated as 217.601....................................47698 217.114--217.121 Removed...........................................47698 217.124 Removed....................................................47698 217.126 Redesignated as 204.125 and revised........................47695 217.131--217.133 Removed...........................................47698 217.134 Redesignated as 217.301 and revised........................47698 217.135--217.136 Removed...........................................47698 217.137 Redesignated as 204.126 and revised........................47695 217.138 Redesignated as 204.127 and revised........................47695 217.139--217.141 Removed...........................................47698 217.144 Removed....................................................47698 217.146 Redesignated as 204.128 and revised........................47696 217.147 Redesignated as 217.302 and revised........................47698 217.148 Redesignated as 217.602....................................47698 217.150 Removed....................................................47698 217.151 Redesignated as 217.603....................................47698 217.152 Removed....................................................47698 217.153 Redesignated as 204.129 and revised........................47696 217.155--217.156 Removed...........................................47698 217.157 Redesignated as 204.130 and revised........................47696 217.158 Removed....................................................47698 217.159 Redesignated as 204.131 and revised........................47697 [[Page 579]] 217.160 Removed....................................................47698 217.161 Redesignated as 217.201 and revised........................47699 217.201 Redesignated from 217.161 and revised......................47699 217.301 Redesignated from 217.134 and revised......................47698 217.302 Redesignated from 217.147 and revised......................47698 217.601 Redesignated from 217.113..................................47698 217.602 Redesignated from 217.148..................................47698 217.603 Redesignated from 217.151..................................47698 220 OTC margin stock list......................3218, 15941, 28538, 41963 220.2 (r)(2)(iii) amended; (r)(3) added; (r) introductory text republished................................................32292 220.3 (e)(4) added; eff. 1-25-88...................................48805 221 OTC margin stock list......................3218, 15941, 28538, 41963 221.3 (b) revised; (c) (i) and (ii) redesignated as (c) (1) and (2); new (c)(1) revised....................................35683 224 OTC margin stock list......................3218, 15941, 28538, 41963 225.43 (a) revised.................................................23023 (c)(2) and (d) revised.........................................23024 225.123 (e)(4) removed.............................................45161 226 Authority citation revised.....................................43181 226.1 (a), (d)(4), and (e) revised.................................43181 Technical correction...........................................45611 226.17 (b) revised.................................................48670 226.18 (f) and footnote 43 revised.................................48670 226.19 Revised.....................................................48670 226.20 (c) added...................................................48671 226.22 Footnote 45a redesignated as 45d............................48670 226.30 Added.......................................................43181 Technical correction...........................................45611 226 Supplement I amended...........................................10878 Appendix H amended.............................................48671 227.14 Exemption granted in part....................................2400 261 Policy statement...............................................15707 261.4 (g) removed..................................................15300 261.8 Added........................................................15300 265.1a (a)(2) amended..............................................43318 265.2 (b) (10) and (11), (c) (26), (29) and (34), and (f) (26) and (48) amended; (c) introductory text and (g) revised........43318 (b)(7) revised.................................................48806 Chapter III 303.0 Revised......................................................35402 303.2 (c)(1) and (c)(2) heading removed; (c)(2) (i) and (ii) redesignated as (c) (1) and (2); new (c) (1) and (2) amended....................................................35403 303.6 (l) removed; (m) and (n) redesignated as (l) and (m); (b) and (e) revised............................................35403 303.7 Revised......................................................35404 303.8 Revised......................................................35407 303.9 Revised......................................................35408 303.10 Revised.....................................................35410 303.11 Revised.....................................................35410 303.12 Removed; new 303.12 redesignated from 303.13................35411 303.13 Redesignated as 303.12......................................35411 304.6 (a) revised; eff. 1-20-88....................................48184 308.01 (b) amended.................................................35411 308.03 (c) (1), (2) (i) and (ii) amended; (c)(2)(iii) and (3) added......................................................35411 309.5 (a)(1), (b), and (c)(7) revised..............................23426 Technical correction...........................................24090 310 Heading revised................................................34209 310.9 Revised......................................................34209 310.13 (a) amended.................................................34209 324 Added; interim; eff. to 6-30-88................................41968 324.7 OMB number corrected.........................................43190 325.2 (a), (j) and (k) revised.....................................41972 325.3 (c)(4) revised...............................................41973 325.5 (c) revised; (f) added.......................................41973 325.101 Added......................................................41973 325.102 Added......................................................41973 326 Heading and authority citation revised..........................2860 326.0--326.7 (Subpart A) Heading added..............................2860 326.0 Heading revised...............................................2860 326.8 (Subpart B) Added.............................................2860 337 Authority citation revised.....................................39216 337.4 (h)(3) revised........................................23544, 39216 (a)(2)(iii) and footnote 5 and (c)(5) and footnote 8 removed; (a)(2) (iv) through (ix), (c)(6), and footnotes 6 and 7 and 9 through 12 redesignated as (a)(2) (iii) through (viii), (c)(5), and footnotes 5 through 10; footnotes 4 and new 6 and (h) revised 47386 341.4 (a) revised...................................................1182 346.19 (d)(6) revised..............................................34210 346.23 Amended.....................................................49156 350 Added; eff. 2-1-88.............................................49379 Chapter IV 404 Authority citation revised.....................................37438 [[Page 580]] 404.3 (d) amended..................................................37438 404.4 (c) (1), (3), and (4) amended; (c) (6) and (7) and (d) removed; (c)(8) redesignated as (c)(6).....................37438 404.6 Revised......................................................37438 Chapter V 500.10 Amended......................................................7120 500.31 Revised......................................................5942 (a) (1) and (2) amended........................................10557 500.32 (a), (b) (1), (3), (5), (6), (8), (9), (10), and (12), and (c) introductory text revised...............................7120 (c) introductory text corrected.................................8550 505 Authority citation revised......................................7121 505.3 (c) and (d) removed; (e) and (f) redesignated as (c) and (d); new (d) revised........................................7121 505.4 (d) amended; authority citation removed.......................7121 505a Authority citation revised.....................................7121 505a.3 (c) revised..................................................7121 505b Authority citation revised.....................................7121 505b.7 Amended......................................................7121 508 Authority citation revised; section authority citations removed.....................................................7121 508.13 Amended......................................................7121 510a Added.........................................................17392 514 Added..........................................................41701 522 Authority citation revised.....................................33402 522.81 (a) (3) and (4) amended; (a)(5) added.......................33402 522.87 (a) designation removed......................................7122 522.90 (a)(2) and (c) revised; (b)(2) amended......................37763 523 Authority citation revised; section authority citations removed.....................................................7122 523.3-2 Heading and (b) revised; (c) through (g) added.............30142 523.3-3 Amended.....................................................7122 523.10 (h)(5) amended...............................................7122 524 Authority citation revised.....................................49381 524.11 Revised.....................................................49381 545.3 Removed......................................................36751 545.11 (a) heading added; (b) amended...............................7122 545.74 (d)(4) amended...............................................7122 (d)(4) amendment at 52 FR 7122 removed.........................36751 545.82 (e) amended..................................................7122 545.102 (b) revised................................................24135 545.115 (b) revised................................................18350 Eff. date deferred to 1-1-89...................................39068 545.138 (f) heading added...........................................7122 546.2 (d)(3) and (h)(1)(i) revised..................................9800 552 Authority citation revised; section authority citations removed.....................................................7122 552.2-2 (d) amended.................................................7122 (d) amendment at 52 FR 7122 removed............................36751 552.8 (b) and (f)(2) amended; (f)(1) revised........................7122 552.13 (h)(2) amended...............................................7122 (i)(3) revised; (j)(3) amended..................................9800 552.14 (b) amended............................................7122, 9800 555 Authority citation revised; section authority citations removed.....................................................7122 555.10 Amended......................................................7122 555.12 Amended......................................................7122 555.17 (d)(2) amended...............................................7122 556 Authority citation corrected....................................8550 556.5 (i) amended...................................................7123 556.8 Amended.......................................................7123 561 Authority citation revised......................................7123 561.8 (b) corrected................................................36751 561.11a (f)(2) introductory text revised............................8242 561.11f (a)(3)(ii) amended..........................................8242 561.11g (a) amended.................................................8242 561.13 (c) (1) and (2) amended......................................7123 Revised........................................................18350 Eff. date deferred to 1-1-89...................................39068 561.15 (b), (d)(2), and (j) (1) and (3) amended.....................7123 (j)(1) correctly designated.....................................8550 (j)(1) corrected...............................................36751 561.17 (a) amended..................................................7123 563.4 (d)(3) amended................................................7123 563.6 (d) revised...................................................8242 563.7-4 (i)(2)(iv) amended..........................................7123 563.8 (c) heading added.............................................7123 563.8-1 (d)(1)(v)(c) amended........................................7123 563.9-7 (b) amended.................................................7123 563.9-8 (h) amended; interim........................................7822 (b)(1)(i), (g)(6), and (h) amended; (f) text designated as (f)(1); (b)(11), (c)(3), (f)(2), and (g)(3)(iv) added; (c)(2) and (g)(2)(v) and (3)(ii) introductory text and (A) through (C) revised.............................................................8205 [[Page 581]] Heading, (a), (c)(2) (i) and (ii), and (e)(2) revised; nomenclature change; (b)(1) introductory text and (6)(ii) and (e)(1) amended; (b)(6)(iii), (9), (10), and (11) redesignated as (b)(6)(iv), (10), (11), and (12); new (b)(6)(iii) and (9) and (f)(3) added.......................................................23802 563.13 (b)(4)(i)(E) revised........................................23641 Nomenclature change............................................23802 (b)(4)(ii)(D)(2)(iii) amended; (b)(4)(ii)(D)(2)(iv) redesignated as (b)(4)(ii)(D)(2)(v); new (b)(4)(ii)(D)(2)(iv) added; (b)(4)(ii)(E)(2) and (F)(2) revised.........................23803 563.13-1 (e) introductory text amended..............................7123 563.13-2 (a)(4) and (e)(1)(i) amended..............................23802 563.15 Heading and (b)(1) introductory text revised; (a) (3) and (4) added; (c) and (d) redesignated as (d) and (e); new (c) added..................................................33402 563.16 Amended.....................................................33402 563.17-1 (c)(8) amended.............................................7123 (c)(8) corrected................................................8550 563.17-4 (g) removed...............................................18351 Eff. date deferred to 1-1-89...................................39068 563.17-7 Added......................................................2860 OMB number......................................................3207 563.22 (b) amended; (d) and (e)(1)(i) revised.......................9800 563.23-1 (f)(3)(i) revised..........................................7123 (a) and (b) revised; (f) removed; (g) redesignated as new (f) 18351 Eff. date deferred to 1-1-89...................................39068 563.23-2 Removed...................................................18351 Eff. date deferred to 1-1-89...................................39068 563.23-3 (c) revised; (d) added....................................18352 Eff. date deferred to 1-1-89...................................39068 563.27 (b) amended..................................................7123 563.31 (b)(1) amended..............................................36751 563.35 (b) and (d) introductory text amended........................7123 563.37 (b) amended.................................................23802 563.38 (a) amended.................................................23802 563.39 (b) (2) and (3) revised......................................4892 563.43 (b)(5) amended...............................................7123 563.45 (c) and (d) amended..........................................7123 563b Authority citation revised..............................7123, 36751 563b.1 (a)(2) removed; (a)(1) designation removed...................7123 Amendatory instruction corrected................................8550 563b.2 (a)(19) revised..............................................7123 563b.3 (i)(3) revised..............................................42092 563b.8 (w)(2) revised..............................................42092 563b.101 Form PS amended.....................................7124, 36752 563c Authority citation revised..............................7124, 18352 563c.14 (f) added..................................................18352 Eff. date deferred to 1-1-89...................................39068 563c.102 Amended....................................................7124 Corrected.......................................................8550 564 Authority citation revised......................................7124 564.9 (b) amended...................................................7124 (b) revised....................................................10558 569 Authority citation revised......................................7124 569.3 (b)(2) amended; (c)(2) removed; (c)(1) designation removed 7124 570 Authority citation revised.....................................18352 570.4 Heading and (a) revised......................................18352 Eff. date deferred to 1-1-89...................................39068 571 Authority citation revised; section authority citations removed.....................................................7124 Authority citation revised.....................................23941 571.5 (a) revised..................................................23941 Effective date corrected.......................................26295 571.8 Amended.......................................................7124 571.12 Added.......................................................39067 572 Authority citation revised......................................7124 572.1 (c)(2) and (e)(3) amended.....................................7124 572a Authority citation revised.....................................9801 572a.5 (c)(5) amended...............................................9801 574 Authority citation revised......................................7124 574.2 (a)(2) revised; (k)(2) amended................................9801 574.3 (c)(2)(iii) amended...........................................7124 (c)(2)(iv)(A) revised...........................................9801 574.4 (d)(5) revised................................................9801 574.5 (a)(1) revised................................................9801 574.6 (a)(3) revised; (e) and (f)(2) amended........................9801 (b) (1) and (6), (c) (1) and (2), (d)(1), and (e) amended; (b) (2), (3), and (5) and (d)(2) revised...............................48520 574.7 (e), (f), (g)(1)(ii) introductory text and (iii) revised......9801 574.8 (a)(3)(iv) revised............................................9802 584 Authority citation revised; section authority citations removed.....................................................7124 584.1 (a)(4) revised...............................................36752 584.2-1 (a) and (b)(1)(v) amended...................................7124 [[Page 582]] 584.4 (a) amended...................................................7124 584.6 (c)(1) amended................................................7124 (d) and (f) revised; (g) added.................................49383 592 (Subchapter H and Part) Added..................................33403 Chapter VI 602.250 (a) introductory text, (5) and (8) revision eff. 5-6-86.....2105 605 Authority citation revised.....................................18200 605.502 (d), (f) and (j) revised...................................18200 611 Authority citation corrected...................................48094 611.1020 Revised (effective date pending)..........................36013 Eff. 10-28-87..................................................41401 611.1021 Removed (effective date pending)..........................36013 Eff. 10-28-87..................................................41401 611.1022 Removed (effective date pending)..........................36013 Eff. 10-28-87..................................................41401 611.1030 Removed (effective date pending)..........................36013 Eff. 10-28-87..................................................41401 611.1031 Removed (effective date pending)..........................36013 Eff. 10-28-87..................................................41401 611.1140 (b) introductory text, (1)(ii) and (2)(v), (vi) (B), (C), (F), and (H) and (4) (i), (ii) and (iii) revised; (b)(1)(iii) added (effective date pending).................12142 Eff. 5-20-87...................................................19129 611.1142 (i) introductory text, (3) and (l)(3) revised; (l)(10) added (effective date pending).............................12143 Eff. 5-20-87...................................................19129 614 Authority citation revised.....................................43740 Authority citation correctly revised...........................44970 Authority citation corrected...................................46151 614.4341 Added (effective date pending)............................43740 Eff. 12-21-87..................................................48673 614.4366 (e) revised (effective date pending)......................12147 Eff. 5-20-87...................................................19129 614.4367 (a) introductory text revised; (g) and (h) added (effective date pending)...................................12147 Eff. 5-20-87...................................................19129 614.4440 (c) revised (effective date pending)...............12147, 45162 Eff. 5-20-87...................................................19129 614.4442 (b) revised (effective date pending)......................12147 Eff. 5-20-87...................................................19129 Revised (effective date pending)...............................45162 614.4443 Existing text designated as (a); (b) added (effective date pending)..............................................12147 Eff. 5-20-87...................................................19129 620 Addition eff. 5-6-86............................................2105 Hearings........................................................8581 620.3 Technical correction..........................................1440 621 Addition eff. 5-6-86............................................2105 621.2 Technical correction..........................................1440 624 Hearings........................................................2672 Heading and authority citation revised.........................13429 Authority citation revised.....................................43740 624.100 Revised (effective date pending)...........................43741 Eff. 12-21-87..................................................48673 624.103 (b) revised (effective date pending).......................43741 Eff. 12-21-87..................................................48673 624.104 Introductory text revised...................................2671 Redesignated as 624.105; new 624.104 added.....................13429 624.105 Redesignated from 624.104..................................13429 Amended........................................................37132 (b) introductory text revised (effective date pending).........43741 Eff. 12-21-87..................................................48673 624.110 Revised....................................................13429 624.111 Revised.....................................................2671 (b) revised (effective date pending)...........................43741 Eff. 12-21-87..................................................48673 624.113 (b) introductory text and (1) introductory text revised.....2671 (a) and (b) introductory text and (1) introductory text revised............................................................13429 (a), (b) introductory text, (1) introductory text and (ii) revised (effective date pending)...................................43741 (b) introductory text correctly revised........................44970 Eff. 12-21-87..................................................48673 624.114 Removed (effective date pending)...........................43741 Eff. 12-21-87..................................................48673 Chapter VII Chapter VII Interpretation and policy statement....................35231 700 Authority citation revised.....................................34895 [[Page 583]] 700.1 (h)(1) revised...............................................34895 701.13 Removed.....................................................43318 701.21 (c)(7) revised...............................................8061 (a), (c) (5) and (8), and (d)(5) revised; (h) added............12368 701.27 (c)(3) revised; (d)(6) redesignated as (d)(6)(i) and amended; (c)(5) and (d)(6) (ii) and (iii) added............43570 701.36 (b)(6) revised; (e) (1) through (3) redesignated as (e)(1) (i) through (iii) and revised; (b)(8) and new (e) (2) and (3) added..................................................43570 703.2 (i) revised; (p) through (t) redesignated as (q) through (u); new (p) added.........................................43570 703.4 (e) amended; (f) and (g) added...............................43570 705 Revised........................................................34893 706 Added; interim.................................................35061 Revised........................................................46586 708 Revised........................................................12374 721 Authority citation revised.....................................43571 721.2 (c) revised; (d) and (e) added...............................43571 741 Authority citation revised.....................................12370 741.3 Redesignated as 741.4; new 741.3 added.......................12370 741.4 Redesignated as 741.5; new 741.4 redesignated from 741.3.....12370 741.5 Redesignated as 741.6; new 741.5 redesignated from 741.4.....12370 741.6 Redesignated as 741.7; new 741.6 redesignated from 741.5.....12370 741.7 Redesignated as 741.8; new 741.7 redesignated from 741.6.....12370 741.8 Redesignated as 741.9; new 741.8 redesignated from 741.7.....12370 741.9 Redesignated as 741.10; new 741.9 redesignated from 741.8....12370 741.10 Redesignated from 741.9.....................................12370 748 Heading and authority citation revised..........................2861 748.2 Added.........................................................2861 (b) revised.....................................................8062 790.4 (a)(7) revised...............................................27987 790.7 Revised......................................................27987 795.1 (b) table amended (OMB numbers)..............................28132 1988 12 CFR 53 FR Page Chapter I 4.1a (b)(1) table amended...........................................6573 (a) (20) and (21) revised......................................20611 5.11 (g) removed...................................................18546 5.14 Added.........................................................18546 5.20 (d)(1)(iii) revised; (h) removed..............................18546 5.21 (c), (d), and (f) revised; (g) and (j) removed; (h) and (i) redesignated as (g) and (h); new (g) revised...............18546 5.22 (e) removed...................................................18546 5.24 (e) removed...................................................18546 5.26 (d) revised; (i) removed......................................18546 5.27 (f) removed...................................................18546 5.30 (h) removed...................................................18546 5.31 (i) revised; (k) removed......................................18546 5.33 (b) (3) through (6) redesignated as (b) (4) through (7); (b)(2) concluding text designated as (b)(3) and revised; (h) and (i) removed........................................18547 5.34 (e) removed...................................................18547 5.35 (g) removed...................................................18547 5.40 (j) removed...................................................18547 5.42 (f) removed...................................................18547 5.46 (f)(1)(ii), (2), (3), (5), and (6) and (g)(1) revised; (g)(3) added; (i) removed.........................................18547 5.47 (i) removed...................................................18548 5.48 (g) removed...................................................18548 5.50 (f)(5) revised; (i) removed...................................18548 7.5015 Revised.....................................................51535 7.8000 (d) added...................................................51535 8 Authority citation revised.......................................48627 8.1 Revised; eff. 1-3-89...........................................48627 8.2 (a) table revised; eff. 1-3-89.................................48627 11.410 (e)(2) amended..............................................43678 11.590 Amended.....................................................43678 11.844 (c)(1)(iv) (D), (E), and (F) and Instructions amended.......43678 18 Revised..........................................................3866 21.11 Revised.......................................................7884 29 Note added.......................................................7891 Removed; eff. 10-1-88...........................................7891 30 Removed..........................................................7891 32 Authority citation revised......................................23753 32.2 (d) revised (temporary).......................................23753 (d) corrected..................................................40721 32.8 (a)(3) and (b) amended.........................................2998 34 Authority citation revised.......................................7891 34.1--34.4 (Subpart A) Heading added................................7891 34.4 Added..........................................................7891 34.5--34.12 (Subpart B) Added.......................................7891 [[Page 584]] 35 Revised.........................................................28376 Chapter II 201.51 Revised.....................................................32603 201.52 Revised.....................................................32603 202 Determination...........................................26987, 45756 202 Supplement I amended...........................................11045 203 Revised........................................................31687 Data reporting.................................................47662 203 Appendix A revised.............................................52657 204.9 (a) revised..................................................49116 204.132 Added......................................................24931 205 Supplement II amended..........................................11046 205.6 (c) revised..................................................52653 206 Supplemental notice..............................................492 207 OTC margin stock list......................2999, 15195, 28189, 43679 OTC margin stock list at 53 FR 15195 corrected.................17689 208 Authority citation revised; section authority citations removed....................................................20811 208.15 (a)(1)(iv) and (2), (b)(1), (d)(3), (e)(4), (f)(1) and (2)(vi) revised; (a)(4) added..............................20812 208.16 Supplemental notice...........................................492 210 Heading and authority citation revised.........................21984 210.1--210.15 (Subpart A) Heading revised..........................21984 210.1 Revised......................................................21984 210.2 (e), (f), (g) undesignated flush text and (j) revised; (g) footnote 2 removed; (k) and (l) redesignated as (l) and (m); new (k) added; new (l) introductory text and undesignated flush text revised............................21984 210.3 (b) revised..................................................21984 210.6 (a)(1) revised...............................................21984 210.7 (b) revised..................................................21985 210.9 (e) amended; footnote 3 redesignated as footnote 2...........21985 210.10 Revised.....................................................21985 210.12 Revised.....................................................21985 210.13 (a) revised.................................................21986 211.5 (f) revised...................................................5363 220 OTC margin stock list......................2999, 15195, 28189, 43679 OTC margin stock list at 53 FR 15195 corrected.................17689 220.2 (r) introductory text republished; (r)(4) added..............30831 221 OTC margin stock list......................2999, 15195, 28189, 43679 OTC margin stock list at 53 FR 15195 corrected.................17689 224 OTC margin stock list......................2999, 15195, 28189, 43679 OTC margin stock list at 53 FR 15195 corrected.................17689 225.2 (a) through (l) redesignated as (b) through (g) and (i) through (n); new (a) and (h) added; new (b) revised........37744 225.51--225.52 (Subpart F) Added...................................37744 225 Appendixes heading revised.....................................37744 225.145 Added......................................................37746 226 Determination...................................................3332 226.19 (b)(2)(viii) corrected........................................467 226 Appendix H corrected.............................................467 Supplement I amended....................................11050, 11058 Supplement I corrected.........................................13379 227.11--227.16 (Subpart B) Staff guidelines........................29225 227.14 Exemption granted in part...................................29223 229 Added..........................................................11837 Revised........................................................19433 229.2 (r), (s), (z) and (dd) revised; interim......................31292 (z)(4) revised.................................................44324 229.11 Eff. to 9-1-90..............................................19372 229.12 Eff. 9-1-90.................................................19372 229.16 (b)(2) footnote 1 added; interim............................31292 (b)(2) amended.................................................44324 229.30 (a)(1) revised; interim.....................................31292 229.31 (a)(1) revised; interim.....................................31292 229 Appendix A corrected....................................24251, 31416 Appendixes A, C and E amended; interim.........................31293 Appendix F added...............................................32356 Appendix E amended.............................................44325 Appendix F amended......................................44328, 51748 Appendix F amended; correction.................................47524 261 Revised........................................................20815 261.5 (d)(5) correctly revised.....................................23383 265.2 (f)(26) amended; (f)(26)(iii) added...........................5152 (b)(12) added..................................................11641 (c)(36) added..................................................12510 (b)(13) added..................................................15801 (c)(18) revised; (c)(19) removed; (f)(17) amended..............22130 Chapter III 303 Authority citation revised.....................................52112 303.4 (b)(3) revised; (b)(6) added.................................52112 308 Revised........................................................51668 310.13 (a) amended..................................................7340 [[Page 585]] 324.2 Revised......................................................22133 (a)(3) correctly revised.......................................36963 324.3 (a)(2) revised...............................................22134 324.5 (c) revised..................................................22134 324.6 (d) revised..................................................22134 324.7 (a) and (b)(6) introductory text revised.....................22134 326 Heading and authority citation revised.........................17917 326.0 Introductory text and (a) amended............................17917 326.1 (a), (c), and (d) revised....................................17917 326.2 Revised......................................................17917 326.3 (a) and (c) amended..........................................17917 326.4 (a) amended..................................................17917 326.5 (a), (c), and (d) amended; (b) removed; OMB number...........17917 326.6 Amended......................................................17917 326.7 Amended......................................................17917 326.8 (a) amended; footnote 3 added................................17917 329 Authority citation revised.....................................47523 329.1 Footnote 1 removed; footnote 2 redesignated as footnote 1 and revised................................................47523 336 Revised........................................................47930 337.4 (a)(2)(vi) correctly redesignated as (a)(2)(v); (h)(3) corrected....................................................597 (h)(1), (2), and (3) corrected..................................2223 338.1 (f) revised..................................................30837 338.4 (a)(2)(i)(G) and (ii)(C)(1)(v) revised.......................30838 346.23 Amended..............................................21986, 51094 Chapter V 500.13 (a) amended.................................................33104 500.19 Revised.....................................................33104 500.21 Removed.....................................................33104 501.10 Introductory text revised....................................1003 (a) revised....................................................33104 501.11 Heading and (a) revised; (i) added...........................1003 (d) revised....................................................33104 505.4 (d) and (e) revised..........................................16055 510a.6 Revised.....................................................30251 522.10 Revised.....................................................18262 522.26a Added; eff. to 12-31-88....................................44396 522.72 Revised.....................................................52655 524.6 Amended......................................................30252 525 Authority citation revised; section authority citations removed......................................................320 525.1 Revised........................................................320 545.33 (e) introductory text and (4) revised; (f) removed; (g) and (h) redesignated as (f) and (g); new (h) added.............18265 545 Appendix removed...............................................18266 547 Interim procedures.............................................13105 Interim procedures removed.....................................43852 548 Interim procedures.............................................13105 Interim procedures removed.....................................43852 549 Interim procedures.............................................13105 Authority citation revised.....................................25132 Interim procedures removed.....................................43852 549.5-1 (b)(5) revised; authority citation removed.................25132 561.13 Revised.......................................................334 561.15 Removed.......................................................352 561.16c (a), (c) and (d) revised; (e) and (f) added..................352 563 Authority citation revised..............................11245, 18266 Interim procedures.............................................13105 Interim procedures removed.....................................43852 563.9-3 (b)(4) revised...............................................361 563.9-9 Heading, (a)(1), (b), and (c) revised; (a) (2) and (3) and (d) redesignated as (a) (3) and (4) and (f); new (a)(2), (d), and (e) added; new (f) revised........................18266 563.13 (b)(4)(i)(D) and (ii)(B) revised; (b)(4)(i)(F) added..........353 (a) revised......................................................369 (b)(2)(iv) revised.............................................11245 563.13-3 Added (temporary).........................................27155 Removed........................................................27814 Added..........................................................27816 563.14 Added.........................................................369 563.14-1 Added.......................................................371 563.17-1 (c)(8) revised............................................20612 563.17-1a Added......................................................382 563.17-2 (a) and (b) revised.........................................353 563.17-5 (a)(4), (c), (e) heading and (2), (g)(2), and (3)(ii) (B) and (C) revised; (g)(3)(ii)(D) redesignated as (g)(3)(ii)(E) and revised; (a)(13) and new (g)(3)(ii)(D) added......................................................27672 563.18 (d) revised.................................................11243 563.22 (e)(1)(xii) amended.........................................20612 563.23-1 Heading and (b) revised; (c) through (f) removed............336 563.23-3 (c) and (d) revised; (e) added..............................336 563.23-4 Added.......................................................388 563.31 (b)(1) revised..............................................20612 563.41 Heading and (a) revised.....................................31701 563.43 (a) revised.................................................31701 [[Page 586]] 563.45 (c) and (d) revised; Form AR amended.........................1004 563.47 Added.........................................................361 563b.3 (g)(4) added.................................................2478 563c.11 Removed......................................................337 563c.14 (f) eff. date corrected to 1-1-88...........................6792 564.2 (b)(3) removed................................................8169 564.9 Revised.......................................................8169 564 Appendix amended................................................8170 569a Interim procedures............................................13105 Authority citation revised.....................................25132 Interim procedures removed.....................................43852 569a.7 Revised.....................................................25132 569b Interim procedures............................................13105 Interim procedures removed.....................................43852 569c Interim procedures............................................13105 Added..........................................................25132 Interim procedures removed.....................................43852 569c.11 (a)(6) revised.............................................30667 570.13 (c) revised.................................................27675 571.1a (a) introductory text amended; (b)(3), (c), and (d) revised 353 571.1b Added.........................................................383 571.17 Removed.....................................................45455 571.18 Added.........................................................388 574.4 (e)(1)(i) and (3) revised; (f)(2) amended....................33106 574.5 (a)(1) amended...............................................33107 574.6 (b)(1) revised; (b) (3), (4) and (5) removed; (b) (6) through (9) redesignated as (b) (3) through (6); new (b) (4) through (6) amended....................................33107 574.8 (a)(1) (i) and (v) removed; (a)(1) (ii), (iii), (iv), and (vi) and (2), (3) and (4) redesignated as (a)(1) (i) through (iv) and (3), (4) and (5); new (a)(2) added; new (a) (3), (4) introductory text and (ii), and (5) revised 33107 (a)(1)(iii)(A) removed; (a)(1)(iii)(B) redesignated as (a)(1)(iii)(A); (b)(1)(ii) revised.................................47942 574.100 Added......................................................33108 575 Added..........................................................43852 576 Added..........................................................43857 577 Added..........................................................43858 583 Authority citation revised; section authority citations removed......................................................321 583.5 Revised.......................................................1004 583.6 Revised........................................................321 583.27 Added.........................................................321 584.2 Heading, (b) and (c) revised...................................322 584.2a Added.........................................................323 584.2-1 Heading and (a) revised; (b)(12) added.......................323 584.2-2 Revised......................................................323 Chapter VI 600 Revised........................................................16693 606 Added (effective date pending).................................19889 Eff. 7-6-88....................................................25481 611 Authority citation revised................12140, 16695, 18810, 39080 611.100 (Subpart A) Removed (effective date pending)...............50392 611.310--611.340 (Subpart C) Added (effective date pending)........50392 611.400 Removed; new 611.400 redesignated from 611.1020 and heading revised (effective date pending)...................50393 611.400 (Subpart D) Heading revised (effective date pending).......50393 611.500--611.525 (Subpart E) Revised (effective date pending)......50393 611.1000--611.1040 (Subpart F) Revised (effective date pending)....50395 611.1020 Redesignated as 611.400 and heading revised (effective date pending)..............................................50393 611.1122 (a) (5) and (6) and (e) (11) through (16) redesignated as (a) (6) and (7) and (e) (16) through (21); new (e) (11) through (15) and (a)(5) and (k) added; (g) revised (effective date pending)...................................50396 611.1123 (a)(9) redesignated as (a)(11); new (a) (9), (10), and (c) added (effective date pending).........................50396 611.1136 Revised (effective date pending)..........................27155 Eff. 9-13-88...................................................35303 611.1140--611.1142 (Subpart J) Removed.............................12140 611.1140 (Subpart J) Added; interim................................16695 (d) revised; (e) added.........................................29446 611.1145 Added.....................................................39080 611.1162 (c) added.................................................18810 611.1166 (d) added.................................................18810 611.1172 (c) and (d) added.........................................18810 [[Page 587]] 611.1174 (c) removed; (d) through (f) redesignated as (c) through (e); new (d) amended; new (c)(5) revised; new (f) added....18810 611.1190--611.1198 (Subpart O) Added (effective date pending)......50396 612 Authority citation revised; section authority citations removed....................................................22136 612.2150 (e) added.................................................22136 612.2200 Removed (effective date pending)..........................50399 614 Authority citation revised.....................................35451 614.4341 Revised.....................................................775 Correctly revised...............................................3191 614.4365--614.4368 (Subpart K) Revised (effective date pending)....35451 Eff. in part 10-14-88..........................................45076 614.4367 (c)(1) and (d)(1) effective date deferred in part.........45076 614.4440--614.4444 (Subpart L) Revised (effective date pending)....35452 Eff. 10-14-88..................................................45076 614.4440 (c) revision eff. 2-2-88...................................2826 614.4442 Revision eff. 2-2-88.......................................2826 614.4510--614.4522 (Subpart N) Heading added (effective date pending)...................................................35454 Heading eff. 10-14-88..........................................45076 614.4512 Added (effective date pending)............................35454 Eff. 10-14-88..................................................45076 614.4513 Revised (effective date pending)..........................35454 Eff. 10-14-88..................................................45076 614.4514 Added (effective date pending)............................35454 Eff. 10-14-88..................................................45076 614.4515--614.4519 Added (effective date pending)..................35455 Eff. 10-14-88..................................................45076 614.4520 Redesignated as 614.4525 (effective date pending).........35454 Added (effective date pending).................................35456 Redesignation and addition eff. 10-14-88.......................45076 614.4521 Added (effective date pending)............................35456 Eff. 10-14-88..................................................45076 614.4522 Added (effective date pending)............................35456 Eff. 10-14-88..................................................45076 (c) (2) and (3) introductory text correctly revised............52401 614.4525 Redesignated from 614.4520 (effective date pending).......35454 Eff. 10-14-88..................................................45076 615 Authority citation revised.........12141, 27156, 35457, 39247, 40046 615.5200--615.5215 (Subpart H) Revised (effective date pending)....39247 615.5215 Amended (effective date pending)..........................40046 615.5220--615.5240 (Subpart I) Removed (effective date pending)....39250 615.5220--615.5250 (Subpart I) Added (effective date pending)......40046 615.5260--615.5280 (Subpart J) Revised (effective date pending)....40047 615.5290 Revised (effective date pending)..........................35457 Eff. 10-14-88..................................................45076 615.5330 (Subpart K) Revised (effective date pending)..............40048 615.5350--615.5370 (Subpart L) Removed (effective date pending)....40049 615.5390--615.5430 (Subpart M) Removed (effective date pending)....40049 615.5440 (Subpart N) Removed (effective date pending)..............40049 615.5560 (Subpart R) Added.........................................12141 Addition confirmed.............................................27156 617 Heading and authority citation revised.........................27156 617.7000--617.7090 (Subpart A) Removed (effective date pending)....27156 Removal eff. 9-13-88...........................................35303 618 Authority citation revised.......................35305, 35457, 39250 618.8030 (b) (6) and (7) removed; (b) (2) through (5) and (8) through (13) redesignated as (b) (3) through (12); new (b) (4), (6), (8) and (11) amended; new (b)(2) added; heading, (a), (b) introductory text, (1) and new (3) revised (effective date pending)...................................35305 Eff. 10-13-88..................................................40867 [[Page 588]] 618.8100 (Subpart D) Removed (effective date pending)..............50399 618.8160 (Subpart E) Removed (effective date pending)..............50399 618.8310 (b)(1) introductory text revised (effective date pending) 35457 Eff. 10-14-88..................................................45076 618.8320 (b) (9) and (10) added (effective date pending)...........35457 Eff. 10-14-88..................................................45076 618.8325 (a) and (b) revised (effective date pending)..............35458 Eff. 10-14-88..................................................45076 618.8440 Added (effective date pending)............................39250 620 Authority citation revised........................3335, 16697, 50399 620.1 (a) revised (effective date pending)..........................3337 Eff. 3-8-88.....................................................7340 620.2 (k) revised (effective date pending)..........................3337 Eff. 3-8-88.....................................................7340 620.3 (j)(3) introductory text and (i) revised; (j)(3)(ii) redesignated as (j)(3)(iii) and introductory text revised and (E) and (G) amended; new (j)(3)(ii) added; interim......3335 (c) revised and (j)(3)(i) introductory text amended (effective date pending).......................................................3337 Eff. 3-8-88.....................................................7340 (j)(3)(ii) revised (effective date pending)....................16697 Eff. 6-13-88...................................................21986 620.10 (a) revised (effective date pending).........................3337 Eff. 3-8-88.....................................................7340 620.11 (b) (2) and (4) revised (effective date pending).............3337 Eff. 3-8-88.....................................................7340 620.20 (b) and (c) revised (effective date pending).................3337 Eff. 3-8-88.....................................................7340 620.30--620.32 (Subpart D) Added...................................50399 621.2 (a)(18)(i) removed; (a)(18) (ii), (iii), (iv) and (v) redesignated as (a)(18) (i), (ii), (iii), and (iv); (a)(24) removed (effective date pending)....................3338 Eff. 3-8-88.....................................................7340 621.4 Heading revised (effective date pending)......................3338 Eff. 3-8-88.....................................................7340 622 Authority citation revised; section authority citations removed....................................................27284 622.2 (d) revised (effective date pending).........................27284 Eff. 9-13-88...................................................35306 622.51--622.60 (Subpart B) Revised (effective date pending)........27284 Eff. 9-13-88...................................................35306 623 Authority citation revised; section authority citations removed....................................................27285 623.2 (d) revised (effective date pending).........................27285 Eff. 9-13-88...................................................35306 624 Revised (effective date pending)...............................40050 Chapter VII Chapter VII Interpretation and policy statement....................18268 701 Authority citation revised.....................................19748 701.6 (a) revised..................................................19748 701.10 Removed......................................................4845 701.20 (c) revised..................................................9611 701.21 (i) added; interim..........................................19751 (c)(7) revised.................................................29645 701.23 (a)(3) removed; (b)(1)(iv) revised...........................4844 701.24 Revised.....................................................19747 701.32 Added; interim..............................................50920 701.33 Revised.....................................................29642 701.35 (c) revised.................................................19748 703 Authority citation revised...............................4844, 19752 Interpretation and policy statement............................18268 703.1 Revised.......................................................4844 Revised; interim...............................................19752 703.2 (o) revised...................................................4844 703.4 (a) revised; interim.........................................19752 704 Revised........................................................42943 725.2 (h) through (p) redesignated as (i) through (q); new (h) added......................................................22472 725.5 (c) amended..................................................22472 741.5 Redesignated as 741.6; new 741.5 added.......................50920 741.6 Redesignated as 741.7; new 741.6 redesignated from 741.5; interim....................................................50920 741.7 Redesignated as 741.8; new 741.7 redesignated from 741.6; interim....................................................50920 [[Page 589]] 741.8 Redesignated as 741.9; new 741.8 redesignated from 741.7; interim....................................................50920 741.9 Redesignated as 741.10; new 741.9 redesignated from 741.8; interim....................................................50920 741.10 Redesignated as 741.11; new 741.10 redesignated from 741.9; interim....................................................50920 741.11 Redesignated from 741.10; interim...........................50920 745 Appendix amended...............................................22473 747 Authority citation revised.....................................29447 747.501--747.507 (Subpart E) Heading revised.......................29447 747.501 Revised....................................................29447 747.502 Revised....................................................29447 747.503 Revised....................................................29447 747.505 Revised....................................................29448 747.506 Redesignated as 747.507; new 747.506 added.................29448 747.507 Redesignated from 747.506..................................29448 748.0 (b) revised...................................................4845 748.1 (c) revised..................................................26232 761 Removed........................................................29646 790 Heading and authority citation revised.........................29647 790.1 (b) revised..................................................29647 790.10 Removed.....................................................29647 790.40--790.49 (Subpart C) Redesignated as 791.9--791.18 (Subpart C) and revised.............................................29647 Correctly removed..............................................34481 790 Appendix A removed.............................................29647 791 Revised........................................................29647 Authority citation correctly revised...........................34481 795 Revised (OMB numbers)....................................3001, 29652 795.1 (b) table amended (OMB numbers)...............................1005 Chapter XI 1101 Authority citation revised.....................................7341 1101.3 (e) revised..................................................7341 1101.4 (b)(1)(vii) and (5) revised..................................7341 1989 12 CFR 54 FR Page Chapter I 1 Authority citation revised........................................1335 1.3 (d) amended.....................................................1335 1.4 Revised.........................................................1335 1.6 Revised.........................................................1335 1.9 Removed.........................................................1335 1.9 Redesignated from 1.10..........................................1335 1.10 Redesignated as 1.9............................................1335 Redesignated from 1.11; (b) revised.............................1335 1.11 Redesignated as 1.10; (b) revised..............................1335 Redesignated from 1.12..........................................1335 1.12 Redesignated as 1.11...........................................1335 1.100 (b) revised...................................................1335 3 Authority citation revised........................................4177 Appendix A added; eff. 12-31-90.................................4177 5.49 Revised.......................................................48856 21 Authority citation revised......................................25843 21.11 Revised......................................................25843 33 Removed.........................................................31935 Chapter II 201.51 Revised.....................................................10270 201.52 Revised.....................................................10271 202 Authority citation revised.....................................50485 202.2 (g) revised..................................................50485 202.3 (d) removed; (e) redesignated as (d).........................50485 202.9 (a) (1) and (2) republished; (a)(3) added....................50485 202.12 (b)(1) introductory text and (2) through (4) revised; (b)(5) added...............................................50486 202.14 (a)(1) amended..............................................53539 202 Appendix C amended.............................................50486 Appendix A amended.............................................53539 202 Supplement I amended............................................9416 203 Revised; eff. 1-1-90...........................................51362 204.9 (a)(1) revised...............................................51012 205.13 (a)(1) amended..............................................53539 205 Supplement II amended...........................................9416 207 OTC margin stock list......................4254, 16357, 31647, 43952 208.10 (a)(3) amended; (a)(4) revised; (b)(2) and (3) amended.......7183 208.13 Revised......................................................4198 208.17 Added........................................................6117 208.123 Removed.....................................................7181 208.124 Added.......................................................7181 (b), (c)(8)(ii) and (d) footnote 1 corrected...................10482 208 Appendix A added................................................4198 Appendix A corrected...........................................12531 213 Appendix D amended.............................................53539 220 OTC margin stock list......................4254, 16357, 31647, 43952 221 OTC margin stock list......................4254, 16357, 31647, 43952 224 OTC margin stock list......................4254, 16357, 31647, 43952 [[Page 590]] 225.2 (l) through (n) redesignated as (m) through (o); new (l) added......................................................37302 225.25 (b)(9) added................................................37301 225.126 (h) removed................................................37302 225 Appendix A redesignated as Appendix B and amended; new Appendix A added............................................4209 Corrected......................................................12531 225 Appendix B redesignated as Appendix C...........................4209 226 Authority citation revised.....................................13864 Determination..................................................50342 226.1 (a) amended..................................................13865 (b) and (d)(2) revised; (c)(3) added...........................24686 226.2 (a)(15) and (a)(17)(iv) revised..............................13865 226.5 (a) (1), (2), and footnote 7 republished; footnotes 8 and 9 revised; (a)(3) and (b)(3) added...........................13865 Footnote 8 revised; (a)(4) and (b)(4) added....................24686 226.5a Added.......................................................13865 (a)(3) revised.................................................24686 (a)(3), (d)(2), (g)(2) (i), and (ii) corrected.................32954 226.5b Added.......................................................24686 226.6 (e) added....................................................24688 226.9 (d)(2) revised; (e) and (f) added............................13867 (c)(3) added...................................................24688 (e)(1) and (f)(1) corrected....................................32954 226.14 (b) revised.................................................13867 (b) revised....................................................24688 226.15 Footnote 36 revised.........................................24688 226.16 (b) introductory text republished; footnote 36a added.......13867 (d) added......................................................24688 (d)(3) corrected; footnote 36b added...........................28665 226.28 (a)(1) amended; (d) added...................................13867 (a) corrected..................................................32954 226 Supplement I amended............................................9421 Supplement I corrected.........................................13455 Appendix G amended......................................13868, 24689 Appendix I amended.............................................53539 229 Policy statement...............................................13839 229.2 (e)(7), (z)(5) and (cc) revised..............................13850 229.13 (e)(2) amended..............................................13850 229.16 (c)(3) amended..............................................13850 229.19 (e) revised.................................................13850 229.31 (b) amended.................................................13850 229.32 (a)(2)(ii) amended; (a)(2)(iii) redesignated as (a)(2)(iv); new (a)(2)(iii) added......................................13850 229.34 (a)(1), (a) concluding text, (b) introductory text, (1), and concluding text revised................................13850 229.36 Heading revised; (e) added; eff. 2-1-91.....................32047 229.38 (d) amended.................................................13850 (d) redesignated as (d)(1); new (d) heading and (2) added; eff. 2-1-90........................................................32047 229 Appendixes A and E amended.....................................13851 Appendix E amended; eff. 2-1-90 and 2-1-91.....................32047 Appendix F amended.............................................13838 262.2 (b) amended..................................................33183 262.3 (a), (c), (j)(1)(ii) amended; (j) (3) and (4) removed; (j)(2) revised.............................................33183 265.2 (f)(49) added................................................10139 (c)(30) revised................................................38374 Chapter III 303 Authority citation revised.......................53042, 53548, 53554 303.0 Revised......................................................53555 303.1 Revised......................................................53556 303.2 Revised......................................................53556 303.3 Revised......................................................53556 303.4 Revised......................................................53557 303.5 Revised......................................................53558 303.6 Revised......................................................53559 303.7 Revised......................................................53562 303.8 (f) revised..................................................14066 Revised........................................................53567 303.9 Revised......................................................53567 303.10 Revised.....................................................53570 303.11 Revised.....................................................53570 303.12 Revised.....................................................53571 303.13 Added; interim..............................................53548 303.14 Added; interim..............................................53042 308 Authority citation revised.....................................53044 308.94--308.98 (Subpart L) Added; interim..........................53044 309 Authority citation revised.....................................46364 309.2 (a), (f), and (h) amended; (d) revised.......................46364 309.4 (a) introductory text and (1), (c) introductory text, (d) introductory text, (2)(i), (e) (1) and (2), and (f) amended....................................................46364 309.5 (h) amended..................................................46364 [[Page 591]] 309.6 (c) introductory text, (1) heading, (2) (i), (ii), (3), (4) (i), (ii), (iii), (iv), (C), (c)(4)(iv), (B)(1), (5) heading and introductory text, (6) introductory text, (ii), (c)(7) (A), (B), (B)(3) and (D), (iv) and (c)(7), introductory text, (7)(i), (ii), (iii) introductory text, and (11) amended; (c)(7)(iii) revised......................46364 310.13 (a) and (b) revised.........................................38507 311 Authority citation revised.....................................38965 311.2 (b) amended..................................................38965 311.6 (a) amended..................................................38965 312 Added; interim.................................................40380 Technical correction...........................................43521 Authority citation revised.....................................52927 312.1 (a) and (c) corrected........................................43521 (c) revised; interim...........................................52927 312.3 Added; interim...............................................52928 312.4 Correctly designated.........................................43521 312.6 Added; interim...............................................52928 312.7 Added; interim...............................................52928 325 Appendix A added; eff. in part 12-31-90 and 12-31-92...........11509 327 Authority citation revised.....................................37938 Revised........................................................51374 327.07 Added.......................................................37938 328 Authority citation revised.....................................33670 328.0 Revised......................................................33670 328.1 Redesignated as 328.2 and revised; new 328.1 added...........33670 328.2 Redesignated as 328.3 and heading revised; new 328.2 redesignated from 328.1 and revised........................33670 328.3 Redesignated from 328.2 and heading revised..................33670 328.4 Added........................................................33672 335.101 Amended; eff. in part 1-29-90 and 12-15-90.................53574 335.102 (b) through (d), (e), (f) through (h), (i) through (n), (p) through (bb), (cc), and (dd) through (jj) redesignated as (c) through (e), (g), (j) through (l), (o) through (t), (u), (v) through (hh), (ii), and (mm) through (ss); new (u), new (ii), and new (rr) revised; new (b), (f), (h), (i), (m), (n), (jj), (kk), and (ll) added; new (l) removed; eff. in part 1-29-90 and 12-15-90.................53574 335.201 (a) and (b) revised; eff. in part 1-29-90 and 12-15-90.....53575 335.203 (a) introductory text, (1), (7), and (11) revised; (a)(9) note and (b)(2) note added; (b) introductory text amended; (b) designated in part as concluding text; eff. in part 1- 29-90 and 12-15-90.........................................53575 335.204 (a) Notes 1 and 2 added; (b) and (c) amended; (e) through (j) redesignated as (f) through (k); new (e) added; new (f) through (i) revised; eff. in part 1-29-90 and 12-15-90 53575 335.206 (a) amended; eff. in part 1-29-90 and 12-15-90.............53576 335.207 (d) revised; eff. in part 1-29-90 and 12-15-90.............53576 335.209 (e) revised; eff. in part 1-29-90 and 12-15-90.............53576 335.210 (b) (2) and (3) revised; eff. in part 1-29-90 and 12-15-90 53576 335.212 Amended; eff. in part 1-29-90 and 12-15-90.................53576 335.214 Added; eff. in part 1-29-90 and 12-15-90...................53586 335.220 (b)(1)(iii) revised; eff. in part 1-29-90 and 12-15-90.....53587 335.307 (b)(3) amended; eff. in part 1-29-90 and 12-15-90..........53587 335.309a Amended; eff. in part 1-29-90 and 12-15-90................53587 335.310 (c) amended; eff. in part 1-29-90 and 12-15-90.............53590 335.312 Amended; eff. in part 1-29-90 and 12-15-90.................53590 335.321 Amended; eff. in part 1-29-90 and 12-15-90.................53592 335.331 Amended; eff. in part 1-29-90 and 12-15-90.................53592 335.332 Amended; eff. in part 1-29-90 and 12-15-90.................53592 335.359 (a) amended; eff. in part 1-29-90 and 12-15-90.............53592 335.401 (a) and (c) amended; eff. in part 1-29-90 and 12-15-90.....53592 335.402 (a) and (b) amended; eff. in part 1-29-90 and 12-15-90.....53592 335.407 Amended; eff. in part 1-29-90 and 12-15-90.................53592 335.408 Amended; eff. in part 1-29-90 and 12-15-90.................53592 335.409 Added; eff. in part 1-29-90 and 12-15-90...................53592 335.410 (h) (1) and (2) amended; eff. in part 1-29-90 and 12-15-90 53592 [[Page 592]] 335.503 (a)(1) and (b) amended; eff. in part 1-29-90 and 12-15-90 53592 335.507 (a) introductory text revised; eff. in part 1-29-90 and 12-15-90...................................................53592 335.509 (a)(1) and (b)(1) amended; eff. in part 1-29-90 and 12-15- 90.........................................................53592 335.509a Added; eff. in part 1-29-90 and 12-15-90..................53592 335.510 (b) revised; eff. in part 1-29-90 and 12-15-90.............53593 335.512 Amended; eff. in part 1-29-90 and 12-15-90.................53593 335.513 Amended; eff. in part 1-29-90 and 12-15-90.................53593 335.521 Added; eff. in part 1-29-90 and 12-15-90...................53593 335.602--335.604 Undesignated center heading revised; eff. in part 1-29-90 and 12-15-90.......................................53593 335.602 Revised; eff. in part 1-29-90 and 12-15-90.................53593 335.603 Removed; eff. in part 1-29-90 and 12-15-90.................53593 335.604 (a) (1) and (2) revised; eff. in part 1-29-90 and 12-15-90 53593 335.610 Amended; eff. in part 1-29-90 and 12-15-90.................53593 335.618 Revised; eff. in part 1-29-90 and 12-15-90.................53593 335.621 (e) amended; eff. in part 1-29-90 and 12-15-90.............53594 335.622 (d)(4) added; (g)(2)(i) revised; eff. in part 1-29-90 and 12-15-90...................................................53594 335.623 (g) amended; eff. in part 1-29-90 and 12-15-90.............53594 335.625 Revised; eff. in part 1-29-90 and 12-15-90.................53594 335.626 (a) revised; eff. in part 1-29-90 and 12-15-90.............53594 335.627 Amended; eff. in part 1-29-90 and 12-15-90.................53594 335.628 Added; eff. in part 1-29-90 and 12-15-90...................53597 335.701 Note added; eff. in part 1-29-90 and 12-15-90..............53600 335.702 Amended; eff. in part 1-29-90 and 12-15-90.................53600 336.12 (c)(2) corrected..............................................227 336.16 (c) corrected.................................................227 336.17 (b)(1)(i) corrected...........................................227 336.24 Heading corrected.............................................227 337 Authority citation revised.....................................51014 337.6 Added; interim...............................................51014 338 Authority citation revised.....................................52930 338.1 (f) redesignated as (g); new (f) added.......................52930 338.2 (a) introductory text revised................................52930 338.3 Revised......................................................52930 346 Authority citation revised.....................................14066 346.1 (a), (k) and (p) revised.....................................14066 346.4 (a) designation removed; (b) removed; (a) (1) and (2) redesignated as (a) and (b)................................14067 346.6 (a)(1) footnotes 2 and 3, (a)(4), and (7) removed; (a) introductory text, (1), (5), and (6) revised; (a)(6) redesignated as (a)(4) and revised.........................14067 (a) introductory text republished; (a)(6) added................27155 346.7 Revised......................................................14067 346.16 Amended.....................................................14067 346.17 Heading revised; (a)(1) amended.............................14067 346.19 (b)(3) amended; (b)(1), (c), (d) introductory text, (3), (5), (7) and (e) revised; (d)(8) added; footnote 5 redesignated as footnote 3 and revised.....................14067 346.20 Revised.....................................................14069 346.21 Removed.....................................................14070 346.23 Removed.....................................................14070 346 Appendix A removed.............................................14070 382--396 (Subchapter C) Added......................................42800 382 Redesignated from Part 548 and amended.........................42801 383 Redesignated from Part 549 and amended.........................42801 384 Redesignated from Part 562 and amended.........................42801 385.1 Redesignated from 563.29-1 and amended.......................42801 385.2 Redesignated from 563.30 and amended.........................42801 385.3 Redesignated from 563.31 and amended.........................42801 385.4 Redesignated from 563.36 and amended.........................42801 385.5 Redesignated from 563.8-2 and amended........................42801 385.6 Redesignated from 563.15 and amended.........................42801 385.7 Redesignated from 563.16 and amended.........................42801 385.8 Redesignated from 563.16-2 and amended.......................42801 385.9 Redesignated from 563.28 and amended.........................42801 [[Page 593]] 386 Redesignated from Part 564 and amended.........................42801 386.1 Redesignated from 564.1 and amended..........................42801 386.2 Redesignated from 564.2 and amended..........................42801 386.3 Redesignated from 564.3 and amended..........................42801 386.4 Redesignated from 564.4 and amended..........................42801 386.5 Redesignated from 564.5 and amended..........................42801 386.6 Redesignated from 564.6 and amended..........................42801 386.7 Redesignated from 564.7 and amended..........................42801 386.8 Redesignated from 564.8 and amended..........................42801 386.9 Redesignated from 564.9 and amended..........................42801 386.10 Redesignated from 564.10 and amended........................42801 386.11 Redesignated from 564.11 and amended........................42801 386.12 Redesignated from 570.12 and amended........................42801 386.13 Redesignated from 570.13 and amended........................42801 386 Appendix redesignated from Part 564 Appendix and amended.......42801 387 Redesignated from Part 565 and amended.........................42801 388.1 Redesignated from 569a.4 and amended.........................42801 388.2 Redesignated from 568a.5 and amended.........................42801 388.3 Redesignated from 569a.6 and amended.........................42801 388.4 Redesignated from 569a.7 and amended.........................42801 388.5 Redesignated from 569a.8 and amended.........................42801 388.6 Redesignated from 569a.9 and amended.........................42801 388.7 Redesignated from 569a.10 and amended........................42801 388.8 Redesignated from 569a.11 and amended........................42801 388.9 Redesignated from 569a.12 and amended........................42801 388.10 Redesignated from 569a.13 and amended.......................42801 389 Redesignated from Part 569c and amended........................42801 390 Redesignated from Part 572 and amended.........................42801 391 Redesignated from Part 572a and amended........................42801 392 Redesignated from Part 575 and amended.........................42801 393 Redesignated from Part 575a and amended........................42801 394 Redesignated from Part 576 and amended.........................42801 Redesignation Table corrected..................................42801 395 Redesignated from Part 577 and amended.........................42801 396 Redesignated from Part 578 and amended.........................42801 Chapter V Chapter V Heading revised..........................................35453 Revised........................................................49440 502 Added; interim.................................................39984 506 Redesignated as 12 CFR Part 910 and heading revised............36759 Added..........................................................51739 506a Redesignated as 12 CFR Part 912 and heading revised...........36759 509 Revised........................................................26359 512 Authority citation revised.....................................26369 512.1 Revised......................................................26369 512.2 (c) revised..................................................26369 512.3 Revised......................................................26370 512.4 Revised......................................................26370 512.5 (b) (1) and (2) revised......................................26370 (c) removed....................................................26370 512.7 Revised......................................................26370 516 Added; nomenclature change......................................4733 Heading and authority citation revised..........................4953 Technical correction............................................6363 516.105 (w) added...................................................4733 516.305 (c) (3) and (4) amended; (c)(5) added; interim..............4953 516.320 (a) revised; interim........................................4953 516.600--516.630 (Subpart F) Added; interim.........................4953 516 Appendix C added; interim.......................................4953 521 Redesignated as 12 CFR Part 931................................36759 522 Redesignated as 12 CFR Part 932................................36759 522.30 Added (temporary)...........................................26018 Removed; eff. 6-14-90..........................................26019 Removed........................................................38592 523 Redesignated as 12 CFR Part 933................................36759 [[Page 594]] 524 Redesignated as 12 CFR Part 934................................36759 525 Redesignated as 12 CFR Part 935................................36759 525.7 (b)(3) amended; (b)(4) redesignated as (b)(5); new (b)(4) added.......................................................6113 526 Redesignated as 12 CFR Part 936................................36759 527 Redesignated as 12 CFR Part 937................................36759 528 Authority citation revised.....................................30537 Redesignated as 12 CFR Part 938................................36759 528.1 (c) revised..................................................30537 528.1a Revised.....................................................30537 528.2 Revised......................................................30537 528.3 (a) revised..................................................30537 528.4 Revised......................................................30537 528.5 (b) revised..................................................30537 528.6 Appendixes A and B revised...................................30538 528.7 (f) revised..................................................30541 528.8 Revised......................................................30541 529 Redesignated as 12 CFR Part 939................................36759 531 Redesignated as 12 CFR Part 940................................36759 531.8 (a) revised; (c)(8) added....................................30542 532 Redesignated as 12 CFR Part 941 and heading revised............36759 533 Redesignated as 12 CFR Part 942................................36759 534 Redesignated as 12 CFR Part 943................................36759 535 Redesignated as 12 CFR Part 944................................36759 544.2 (d) and (e) added.............................................4259 544.5 (c) and (d) added.............................................4259 545.45 (e)(1) designation and (e)(2) removed.......................34146 545.73 (a) revised.................................................34146 545.74 (c) (4), (5), and (6) redesignated as (c) (5), (6), and (7); new (c)(4), (f) and (g) added; new (c)(5)(v) and new (7) revised................................................32958 (a)(4) and (d)(4) removed; (a)(5) redesignated as new (a)(4); (d)(2) introductory text revised...................................34146 545.96 (a) and (d) revised; eff. 1-8-90............................50614 545.112 Removed....................................................34146 545.131 (a) and (b) removed; (c), (d), and (e) redesignated as (a), (b), and (c); new (a) and new (b)(5)(ii) revised......33868 545.132 Added......................................................33868 545.141 (d) revised................................................33870 546.2 (h)(1)(xii) amended..........................................34146 548 Redesignated as Part 382 and amended...........................42801 549 Redesignated as Part 383 and amended...........................42801 549.5-1 (b)(6) added...............................................19156 550.2 (c) introductory text revised; (c) removed; (c)(2) through (11) redesignated as (c)(1) through (10)....................7396 550.14 (a), (b), and (c) amended....................................7396 552.4 (e) and (f) added.............................................4260 552.5 (d) and (e) added.............................................4261 561--574 (Subchapter D) Heading corrected..........................50582 561 Authority citation revised.....................................46866 561.13 Removed.....................................................46866 561.17 Removed.....................................................34146 562 Redesignated as Part 384 and amended...........................42801 563 Authority citation revised.....................................46866 563.7-5 (b)(2)(ii) removed; (b)(2) (iii) and (iv) redesignated as (b)(2) (ii) and (iii)......................................34146 563.8 (e)(1) introductory text revised.............................34146 563.8-1 (b)(2)(ii) removed; (b)(2) (iii), (iv), and (v) redesignated as (b)(2) (ii), (iii), and (iv)...............34146 (b) (2), (3), (d)(i)(iv), (e), (h), and (i) revised; (d)(4), (j), and (k) added.................................................34153 563.8-2 Redesignated as 385.5 and amended..........................42801 563.8-4 (b)(7) amended.............................................34146 563.9-7 (b) revised................................................34147 563.9-8 (h) amended.........................................15401, 47511 (b)(2)(i) and (d)(1)(iv) revised; (f)(4) added.................33873 (g)(3)(ii)(A)(1)(iii)..........................................34147 563.13 Removed.....................................................46866 563.13-2 (c) and (d) removed; (e) redesignated as (c)..............46866 563.13-3 Added.......................................................396 563.15 Redesignated as 385.6 and amended...........................42801 563.16 Redesignated as 385.7 and amended...........................42801 563.16-2 Redesignated as 385.8 and amended.........................42801 [[Page 595]] 563.17-2 (a), (b), and (d) revised.................................34147 563.18 (d)(1)(ii), (2)(i), and (4) revised..........................4262 563.19 (b) revised.................................................25100 563.22 (e)(1)(xii) amended.........................................34147 563.28 Redesignated as 385.9 and amended...........................42801 563.29-1 Redesignated as 385.1 and amended.........................42801 563.30 Redesignated as 385.2 and amended...........................42801 563.31 Redesignated as 385.3 and amended...........................42801 563.36 Redesignated as 385.4 and amended...........................42801 563b.101 Amended...................................................34147 563c.14 (a) amended................................................34148 563c.102 Amended............................................23468, 34148 563f Authority citation revised; section authority citations removed....................................................21596 563f.7 Revised.....................................................21596 564 Redesignated as Part 386 and amended...........................42801 564.1 Redesignated as 386.1 and amended............................42801 564.2 Redesignated as 386.2 and amended............................42801 564.3 Redesignated as 386.3 and amended............................42801 564.4 Redesignated as 386.4 and amended............................42801 564.5 Redesignated as 386.5 and amended............................42801 564.6 Redesignated as 386.6 and amended............................42801 564.7 Redesignated as 386.7 and amended............................42801 564.8 Redesignated as 386.8 and amended............................42801 564.9 Redesignated as 386.9 and amended............................42801 564.10 Redesignated as 386.10 and amended..........................42801 564.11 Redesignated as 386.11 and amended..........................42801 564 Appendix redesignated as Part 386 Appendix and amended.........42801 565 Redesignated as Part 387 and amended...........................42801 567 Revised........................................................46866 569a.4 Redesignated as 388.1 and amended...........................42801 569a.5 Redesignated as 388.2 and amended...........................42801 569a.6 Redesignated as 388.3 and amended...........................42801 569a.7 Revised.....................................................19156 Redesignated as 388.4 and amended..............................42801 569a.8 Redesignated as 388.5 and amended...........................42801 569a.9 Redesignated as 388.6 and amended...........................42801 569a.10 Redesignated as 388.7 and amended..........................42801 569a.11 Redesignated as 388.8 and amended..........................42801 569a.12 Redesignated as 388.9 and amended..........................42801 569a.13 Redesignated as 388.10 and amended.........................42801 569c Redesignated as Part 389 and amended..........................42801 569c.7-1 Added......................................................6112 569c.8-1 Added.....................................................19156 570.8 Removed......................................................34148 570.12 Redesignated as 386.12 and amended..........................42801 570.13 Redesignated as 386.13 and amended..........................42801 571 Authority citation revised.....................................35453 571.1 (b) amended; (d) removed.....................................34148 571.1a Introductory text revised...................................34148 571.12 Revised.....................................................35172 571.13 (a) introductory text and (3) revised.......................34148 571.19 Added.......................................................23468 (e) amended....................................................35453 572 Redesignated as Part 390 and amended...........................42801 572a Redesignated as Part 391 and amended..........................42801 574.6 (a) (2) through (5) redesignated as (a) (3) through (6); new (a)(2) added...............................................33185 574.7 (a) redesignated as (a)(1); new (a) (2) and (3) added........32962 (a)(2) introductory text revised...............................33186 575 Redesignated as Part 392 and amended...........................42801 575a Added.........................................................12414 Redesignated as Part 393 and amended...........................42801 576 Redesignated as Part 394 and amended...........................42801 577 Redesignated as Part 395 and amended...........................42801 Redesignation table corrected..................................42801 [[Page 596]] 578 Added...........................................................6109 Redesignated as Part 396 and amended...........................42801 584 Authority citation revised.....................................22414 584.9 (d) and (e) revised..........................................22414 592 Removed........................................................38598 Chapter VI 600 Subpart and section authority citations removed................50736 600.10 (Subpart B) Added (effective date pending)..................50736 611 Subpart authority citations removed.............................1147 611.100 (Subpart A) Removal eff. 2-22-89............................7758 611.310--611.340 (Subpart C) Addition eff. 2-22-89..................7758 611.310 (c) correctly revised................................2994, 37095 611.400 Removal; new 611.400 redesignation from 611.1020 and heading revision; eff. 2-22-89..............................7758 611.400 (Subpart D) Heading revision; eff. 2-23-89..................7758 611.500--611.525 (Subpart E) Revision eff. 2-22-89..................7758 611.1000--611.1040 (Subpart F) Revision eff. 2-22-89................7758 611.1020 Redesignation as 611.400 and heading revision; eff. 2-23- 89..........................................................7758 611.1122 Amendment eff. 2-22-89.....................................7758 611.1123 Amendment eff. 2-22-89.....................................7758 611.1155 Amended (effective date pending)...........................1148 Eff. 2-23-89....................................................7758 611.1156 (a) and (b)(1) revised; (b) (4) and (5) amended; (b)(6) added (effective date pending)..............................1148 Eff. 2-23-89....................................................7758 611.1157 (a) and (b) amended (effective date pending)...............1148 Eff. 2-23-89....................................................7758 611.1158 Nomenclature change (effective date pending)...............1148 Eff. 2-23-89....................................................7758 611.1160 (a), (b), (e), (f) and (g) amended (effective date pending)....................................................1148 Eff. 2-23-89....................................................7758 611.1161 Introductory text and (s) amended (effective date pending)....................................................1148 Eff. 2-23-89....................................................7758 611.1162 (b) amended; (c) revised and (d) added (effective date pending) (See correction published at 55 FR 10042)..........1148 Eff. 2-23-89....................................................7758 611.1165 Removed (effective date pending)...........................1148 Eff. 2-23-89....................................................7758 611.1166 Redesignated as 611.1167; and (a)(4) amended and (d) revised; new 611.1166 added (effective date pending) (See correction published at 55 FR 10042)........................1148 Eff. 2-23-89....................................................7758 611.1167 Redesignated as 611.1168 and (a) amended and (b) revised; new 611.1167 redesignated from 611.1166; and (a)(4) amended and (d) revised (effective date pending)............1148 Eff. 2-23-89....................................................7758 611.1168 Redesignated as 611.1169 and amended; new 611.1168 redesignated from 611.1167 and (a) amended and (b) revised (effective date pending)....................................1148 Eff. 2-23-89....................................................7758 611.1169 Redesignated from 611.1168 and amended (effective date pending)....................................................1148 Eff. 2-23-89....................................................7758 611.1170 (a), (b), (e), (f), and (g) amended; (h) revised (effective date pending)....................................1148 Eff. 2-23-89....................................................7758 611.1172 (b) amended; (c) and (d) revised (effective date pending) (See also 55 FR 10042)......................................1149 Eff. 2-23-89....................................................7758 611.1174 (c) removed; (d), (e) and (f) redesignated as (c), (d) and (e); new (c)(5) revised; new (d) amended; new (f) added (effective date pending) (See also 55 FR 10042 amendment removed)..........................................1149 Eff. 2-23-89....................................................7758 611.1175 (b) revised (effective date pending).......................1149 Eff. 2-23-89....................................................7758 611.1176 Amended (effective date pending)...........................1149 Eff. 2-23-89....................................................7758 [[Page 597]] 611.1180 (a), (d) and (e) amended; (f) revised (effective date pending)....................................................1149 Eff. 2-23-89....................................................7758 611.1181 (b) and (c)(1) amended (effective date pending)............1149 Eff. 2-23-89....................................................7758 611.1182 (a) amended (b) revised (effective date pending)...........1149 Eff. 2-23-89....................................................7758 611.1190--611.1198 (Subpart O) Addition eff. 2-22-89................7758 611.1195 (b) correctly revised......................................2994 Eff. 2-23-89....................................................7758 612.2150 (a) and (c) introductory text amended; interim.............1150 Regulation at 54 FR 1150 confirmed (effective date pending)....50736 612.2160 (a) amended; interim.......................................1150 Regulation at 54 FR 1150 confirmed (effective date pending)....50736 612.2200 Removal eff. 2-22-89.......................................7758 614.4280 (a) amended; (a) designation and (b) removed; interim......1150 Regulation at 54 FR 1150 confirmed (effective date pending)....50736 614.4320 Amended; interim...........................................1150 Regulation at 54 FR 1150 confirmed (effective date pending)....50736 614.4321 Introductory text amended; interim.........................1150 Regulation at 54 FR 1150 confirmed (effective date pending)....50736 614.4340 (a) amended; interim.......................................1151 Regulation at 54 FR 1151 confirmed (effective date pending)....50736 614.4345 Amended; interim...........................................1151 Regulation at 54 FR 1151 confirmed (effective date pending)....50736 614.4367 (c)(1) and (d)(1) revised (effective date pending).........1153 Eff. 2-23-89....................................................7758 614.4460 Introductory text and (f) (1) and (3) amended; interim.....1151 Regulation at 54 FR 1151 confirmed (effective date pending)....50736 614.4511 Amended; interim...........................................1151 Regulation at 54 FR 1151 confirmed (effective date pending)....50736 614.4910 (Subpart R) Added (effective date pending).................1155 Eff. 2-23-89....................................................7759 615.5000 Revised (effective date pending)...........................1158 Eff. 2-23-89....................................................7759 615.5010 Revised (effective date pending)...........................1159 Eff. 2-23-89....................................................7759 615.5030 Revised (effective date pending)...........................1159 Eff. 2-23-89....................................................7759 615.5040 Amended; interim...........................................1151 Regulation at 54 FR 1151 confirmed (effective date pending)....50736 615.5045--615.5090 (Subpart B) Revised (effective date pending).....1159 Eff. 2-23-89....................................................7759 615.5100 Revised (effective date pending)...........................1160 Eff. 2-23-89....................................................7759 615.5101 Revised (effective date pending)...........................1160 Eff. 2-23-89....................................................7759 615.5102 Revised (effective date pending)...........................1160 Eff. 2-23-89....................................................7759 615.5104 Amended; interim...........................................1151 Regulation at 54 FR 1151 confirmed (effective date pending)....50736 615.5105 (b) revised (effective date pending).......................1160 Eff. 2-23-89....................................................7759 615.5135 (b) introductory text amended; interim.....................1151 Regulation at 54 FR 1151 confirmed (effective date pending)....50736 615.5143 Amended; interim...........................................1151 Regulation at 54 FR 1151 confirmed (effective date pending)....50736 615.5190 (b) amended; interim.......................................1151 Regulation at 54 FR 1151 confirmed (effective date pending)....50736 615.5200--615.5215 (Subpart H) Revision eff. 2-1-89.................5074 615.5210 (e)(3)(iii) table correctly revised.......................31323 [[Page 598]] 615.5215 Amendment eff. 2-9-89......................................6264 615.5220--615.5240 (Subpart I) Removal eff. 2-1-89..................5074 Addition eff. 2-9-89............................................6264 615.5230 (b)(4) correctly revised (effective date pending)..........6118 615.5250 Clarifying correction......................................7029 615.5255 Correctly removed..........................................7029 615.5260--615.5290 (Subpart J) Clarifying correction................7029 615.5260--615.5280 (Subpart J) Revision eff. 2-9-89.................6264 615.5320 Correctly removed..........................................7029 (b)(4) revision eff. 2-9-89.....................................6264 615.5325 Correctly removed..........................................7029 615.5330 (Subpart K) Revision eff. 2-9-89...........................6264 615.5350--615.5370 (Subpart L) Removal eff. 2-9-89..................6264 615.5390--615.5430 (Subpart M) Removal eff. 2-9-89..................6264 615.5440 (Subpart N) Removal eff. 2-9-89............................6264 615.5450 Revised (effective date pending)...........................1160 Eff. 2-23-89....................................................7759 615.5451 Removed (effective date pending)...........................1160 Eff. 2-23-89....................................................7759 615.5452 Removed....................................................1160 Eff. 2-23-89....................................................7759 615.5453 Removed....................................................1160 Eff. 2-23-89....................................................7759 615.5460 (b) and (c) revised (effective date pending)...............1160 Eff. 2-23-89....................................................7759 615.5497 Removed (effective date pending)...........................1160 Eff. 2-23-89....................................................7759 618 Authority citation corrected....................................2994 618.8060 Amended; interim...........................................1151 Regulation at 54 FR 1151 confirmed (effective date pending)....50736 618.8100 (Subpart D) Removal eff. 2-22-89...........................7758 618.8160 (Subpart E) Removal eff. 2-22-89...........................7758 618.8440 Addition eff. 2-1-89.......................................5074 620 Authority citation revised; section authority citations removed.....................................................1155 620.30--620.32 (Subpart D) Addition eff. 2-22-89....................7758 620.40 (Subpart E) Added (effective date pending)...................1155 Eff. 2-23-89....................................................7759 621 Authority citation revised; section authority citations removed.....................................................1155 621.10 (a) revised (effective date pending).........................1155 Eff. 2-23-89....................................................7759 621.11 Revised (effective date pending).............................1155 Eff. 2-23-89....................................................7759 621.20--621.24 (Subpart C) Added (effective date pending)...........1155 Eff. 2-23-89....................................................7759 624 Revision eff. 2-9-89............................................6284 Chapter VII Chapter VII Interpretation and policy statement....................31168 700.1 (j) and (k) redesignated as (k) and (l); new (k) revised; new (j) added..............................................48234 (j) through (l) redesignated as (k) through (m)................52015 701 Interpretation and policy statement............................31168 Authority citation revised..............................31184, 51383 701.1 Revised......................................................31168 701.5 Removed......................................................18474 701.13 Added.......................................................51383 701.20 (c) revised.................................................18470 701.21 (i) revised.................................................18472 (f) revised....................................................43278 701.31 Revised.....................................................46223 701.32 Regulation at 53 FR 50920 comment time extended..............8280 Revised........................................................31184 (c) revised....................................................51384 701.36 Revised.....................................................18467 701.37 Added.......................................................18471 701.37-1 Removed...................................................18471 701.37-2 Removed...................................................18471 702 Authority citation revised.....................................48235 702.2 Revised......................................................48235 702.3 (c) revised..................................................48235 703 Authority citation revised.....................................18473 703.1 Regulation at 53 FR 19752 confirmed..........................18473 703.4 Regulation at 53 FR 19752 confirmed..........................18473 705 Authority citation revised.....................................51384 705.0 Revised......................................................51384 705.7 (b)(1) revised...............................................51384 705.9 Revised......................................................51384 708.301 (a)(2) revised.............................................43280 [[Page 599]] 708.302 (a)(2) and (b)(2) revised..................................43280 708.303 (a) amended................................................43280 741 Authority citation revised.......................31184, 48235, 51383 741.2 Revised......................................................51383 741.5--741.11 Regulation at 53 FR 50920 comment time extended.......8280 741.5 Revised......................................................31184 741.7 (a) revised..................................................48235 747.01 Revised.....................................................43282 747.101 Revised....................................................43282 747.122 Added......................................................43283 747.301--747.306 (Subpart C) Revised...............................43283 747.401--747.408 (Subpart D) Revised...............................43284 747.409 Added......................................................43284 747.501--747.507 (Subpart E) Revised...............................43285 747.601--747.611 (Subpart F) Revised...............................43286 790 Revised........................................................18474 792 Redesignated as Part 796; new 792 added........................18476 796 Redesignated from Part 792.....................................18476 Chapter IX Chapter IX Established.............................................36758 900--924 (Subchapter A) Added......................................36758 900 Heading added..................................................36758 902 Heading added..................................................36758 904 Heading added..................................................36758 906 Heading added..................................................36758 908 Heading added..................................................36758 910 Redesignated from 12 CFR Part 506 and heading revised..........36759 912 Redesignated from 12 CFR Part 506a and heading revised.........36759 914 Heading added..................................................36758 916 Heading added..................................................36758 918 Heading added..................................................36758 920 Heading added..................................................36759 922 Heading added..................................................36758 924 Heading added..................................................36758 931--944 (Subchapter B) Added......................................36579 931 Redesignated from 12 CFR Part 521..............................36759 932 Redesignated from 12 CFR Part 522..............................36759 Authority citation revised.....................................38591 932.8 Republished..................................................38591 932.9 Republished..................................................38591 932.10 Revised.....................................................38591 932.11 Revised.....................................................38591 932.12 Republished.................................................38591 932.13 Revised.....................................................38591 932.14 Revised.....................................................38591 932.15 Republished.................................................38592 932.16 Revised.....................................................38592 932.17 Removed; eff. thru 6-15-90..................................38593 Added (temporary)..............................................38592 (k) corrected..................................................43384 933 Redesignated from 12 CFR Part 523 and Heading revised..........36759 934 Redesignated from 12 CFR Part 524..............................36759 934 Authority citation revised.....................................36760 934.14 Added.......................................................36760 935 Redesignated from 12 CFR Part 525..............................36759 936 Redesignated from 12 CFR Part 526..............................36759 937 Redesignated from 12 CFR Part 527..............................36759 938 Redesignated from 12 CFR Part 528..............................36759 939 Redesignated from 12 CFR Part 529..............................36759 940 Redesignated from 12 CFR Part 531..............................36759 941 Redesignated from 12 CFR Part 532 and heading revised..........36759 942 Redesignated from 12 CFR Part 533..............................36759 943 Redesignated from 12 CFR Part 534..............................36759 944 Redesignated from 12 CFR Part 535..............................36759 950 (Subchapter C) Added...........................................36759 Heading added..................................................36759 Added..........................................................38595 955 (Subchapter D) Added...........................................36759 955 Heading added..................................................36759 Added..........................................................39729 Chapter XIII Chapter XIII Established...........................................34487 1300 Added.........................................................34487 Chapter XV Chapter XV Established.............................................38966 1510--1511 (Subchapter B) Added....................................41950 1510 Added.........................................................41950 1511 Added.........................................................41954 [[Page 600]] 1990 12 CFR 55 FR Page Chapter I 3.2 Revised........................................................38800 3.3 Revised........................................................38800 3.4 Revised........................................................38800 3.6 Revised........................................................38800 Correctly redesignated.........................................41171 3.7 Revised........................................................38800 3.9 Revised........................................................38800 3.10 Introductory text and (d) revised; (e) and (f) redesignated as (g) and (h); new (e) and (f) added......................38800 3.12 (a) revised...................................................38800 3.14 Revised.......................................................38801 3.100 Introductory text and (g) added; (e)(5), (f)(1) introductory text, (2), and (3) revised.................................38801 5 Authority citation revised.........................................997 5.5 (b) revised....................................................49842 5.24 (c)(4) revised..................................................997 5.33 (b)(6) and (d) revised........................................49842 5.34 (d)(1)(ii) and (iii) revised; (d)(1)(iv) and (4) added..........997 5.36 Added...........................................................998 5.46 (g)(4) added....................................................998 5.47 (g)(3) added....................................................998 5.51 Added (temporary)..............................................7693 5.61 Added.........................................................51274 5.62 Added.........................................................51275 7 Authority citation revised.......................................51276 7.6100 Removed.....................................................51276 7.6125 Removed.....................................................51276 8 Authority citation revised.......................................49842 8.1 Revised........................................................49842 8.2 (a) table and first undesignated paragraph revised; (c) removed....................................................49842 8.8 Revised........................................................49842 8.15 Added.........................................................49842 11 Authority citation revised......................................49843 11.101 (a) revised.................................................49843 11.103 Heading revised; existing text designated as (a) and heading added; (b) added...................................49843 11.590 Amended.....................................................21010 16 Authority citation revised......................................49843 16.1 Revised.......................................................49843 16.3 Heading revised; (h) added....................................49843 19 Revised.........................................................13014 25 Authority citation revised......................................26626 25.4 (f) revised; interim..........................................26626 25.5 (a)(2) and (3) redesignated as (a)(3) and (4); new (a)(3), (4), (c)(1), and (2) revised; new (a)(2), (c)(3), and (d) added; interim.............................................26626 25.6 Existing text designated as (a) and amended; (b) added; interim....................................................26626 32.5 (d)(1) and (2) headings added; (d)(3) added.....................857 34 Heading and authority citation revised..........................34696 34.1 (b) revised...................................................34696 34.3 Introductory text revised.....................................34696 34.41--34.47 (Subpart C) Added.....................................34696 Appendix A added; interim; eff. 1-30-91.................53612, 53617 Chapter II 202 Preemption determination.......................................29565 Supplement I amended...........................................12472 Supplement I corrected.........................................14830 203 Order....................................................5444, 34218 203.4 (d)(4) corrected...............................................695 203 Appendix A corrected.......................................695, 2481 204.2 (c)(1)(i) introductory text footnote 2 revised...............50541 204.3 (a)(3)(i)(A) and (B) amended; (a)(3)(i)(C) removed; (c)(2) revised....................................................50541 204.9 (a)(1) revised...............................................49994 Regulation at 55 FR 49994 withdrawn; (a) revised...............50541 (a)(1) table corrected.........................................53100 205 Supplement II amended..........................................12635 207 OTC margin stock list......................2631, 18591, 31367, 46040 208 Authority citation revised.....................................27771 208.13 Revised.....................................................32831 208.18 Added.......................................................27771 208.19 Added; (a) eff. 1-25-91.....................................52986 208.125--208.127 Redesignated from 250.101--250.103................52987 208 Appendix A amended.............................................32831 Appendix B added...............................................32831 210 Heading and authority citation revised.........................40801 Authority citation corrected...................................47428 210.25--210.32 (Subpart B) Revised.................................40801 210.25 (b)(3) corrected............................................47428 210.26 (e) and (f) corrected.......................................47428 210.29 (b) corrected...............................................47428 210.25--210.32 (Subpart B) Appendix A corrected....................47428 Appendix B corrected...........................................47428 [[Page 601]] 220 OTC margin stock list......................2631, 18591, 31367, 46040 220.2 (i) through (y) redesignated as (k) through (aa); new (q)(4), (5), (t)(3), (4)(iii) amended; new (i), (j), (q)(6) and (t)(5) added....................................11159 220.4 (c)(1) amended...............................................11159 220.5 (g) added....................................................11159 220.8 (b)(1) introductory text revised; (b)(1)(i) through (iv); (c) redesignated as (b)(1)(i)(A) through (iv)(3); new (b)(1)(i) and (ii) added...................................11159 220.13 (a), (b) and (c) amended; (d) added.........................11160 220.17 (a) and (b) amended; (c), (d), and (e) redesignated as (e), (f), and (g); Heading, (a) heading, (b) heading, new (e), (f), and (g) revised; new (c) and (d) added................11160 220.18 (a) and (b) amended.........................................11160 220.131 Added......................................................29566 221 OTC margin stock list......................2631, 18591, 31367, 46040 224 OTC margin stock list......................2631, 18591, 31367, 46040 225 Authority citation revised........................6790, 27771, 47743 225.4 (d) redesignated as (d)(1); new (d)(1) heading revised; (d)(2) added...............................................47743 225.42 (a) redesignated as (a)(1) and amended; (a)(2) added........47845 225.61--225.67 (Subpart G) Added...................................27771 Appendix A added; interim; eff. 1-30-91.................53617, 53612 225.71--225.73 (Subpart H) Added; interim...........................6790 225 Appendix A amended.............................................32832 Appendix B amended.............................................32832 Appendix D added...............................................32832 226 Supplement I amended...........................................13106 Corrected......................................................17750 Preemption determination; eff. 10-1-91.........................31815 226.5b (f) introductory text, (3) introductory text, and (vi) introductory text republished; (f)(3)(i), (vi)(E), and (F) revised; (f)(3)(vi)(G) removed.............................38312 (f)(3)(i) corrected.....................................39538, 42148 226.9 (c)(3) revised...............................................38312 (c)(3) corrected........................................39538, 42148 226 Appendix G amended.............................................38312 228 Authority citation revised.....................................26626 228.4 (f) revised; interim.........................................26627 228.5 (a)(2) and (3) redesignated as (a)(3) and (4); new (a)(3), (4), (c)(1), and (2) revised; new (a)(2), new (c)(3), and (d) added; interim.........................................26627 228.6 Existing text designated as (a) and amended; (b) added; interim....................................................26627 229.3 (a)(2) revised...............................................21855 229.12 (a), (b) introductory text, and (c)(1) introductory text revised; (b)(3) removed; (b)(4) and (5) redesignated as (3) and (4); new (b)(4) revised; (d) amended; (f) added; interim....................................................50818 229.13 (h)(4) revised..............................................21855 229.30 (c) revised.................................................21855 229.35 (a) revised.................................................21855 229.36 (e) concluding text amended; eff. 2-1-91....................21855 229 Appendix F amended.............................................11358 Appendixes A and C amended.....................................21855 Appendix E amended.............................................21856 Appendixes C and E amended; interim............................50818 250.101--250.103 Redesignated as 208.125--208.127..................52987 250.104 Removed....................................................52987 261.10 Amended; interim; eff. 1-2-91...............................49877 264b.3 (a) revised..................................................3576 (a) amended....................................................11360 265.2 (c)(18) revised..............................................30000 (c)(20) amended................................................41185 (b)(13) revised................................................50542 Chapter III 303 Authority citation revised.....................................38042 303.13 (a)(5)(ii), (b)(1), (2), (c)(1)(i), (d)(1) and (2)(i) amended; (c)(2) revised; (f)(4) added (OMB number).........38042 304.6 Revised......................................................21015 312 Technical correction............................................1912 312.1 (c) revised; (f) through (j) added; interim..................10412 312.4 Revised; interim.............................................10413 312.5 Added; interim...............................................10413 312.6 Revised; interim.............................................10413 312.7 Revised; interim.............................................10413 312.8 Added; interim...............................................10414 312.9 Added; interim...............................................10414 312.10 Added; interim..............................................10414 323 Added..........................................................33888 [[Page 602]] Appendix A added; interim; eff. 1-30-91.................53612, 53617 325 Authority citation revised.....................................53146 325.1 Amended; eff. 1-28-91........................................53146 325.2 (f) amended; eff. 1-28-91....................................53146 325.5 (g) added; eff. 1-28-91......................................53146 325 Appendix A amended; eff. 1-28-91...............................53147 327.13 (c) added...................................................40817 327.23 (d) added...................................................40817 330 Revised........................................................20122 331 Removed........................................................20122 337 Authority citation revised.....................................23187 337.6 (g) revised; interim; eff. to 8-11-90........................23187 Eff. to 11-9-90................................................28885 Revised........................................................39139 345.4 (f) revised; interim.........................................26627 345.5 (a)(2) and (3) redesignated as (a)(3) and (4); new (a)(3), (4), (c)(1), and (2) revised; new (a)(2), new (c)(3), and (d) added; interim.........................................26627 345.6 Existing text designated as (a) and amended; (b) added; interim....................................................26627 348 Authority citation revised.....................................50543 348.2 (l) amended; (h)(1) revised; (o) added.......................50543 348.4 (a)(5), (6), (b) introductory text and (c) amended; (a)(7), (8), (b)(6) and (c)(2) added; (c)(1) newly designated.....50543, 50544 348.5 Amended......................................................50544 357 Added; interim.................................................11161 Regulation at 55 FR 11161 confirmed............................38045 360 Added..........................................................46496 360.1 Redesignated from 389.8-1....................................46496 360.2 Redesignated from 389.11.....................................46496 (c) removed....................................................46497 382 Removed........................................................46496 383 Removed........................................................46496 384 Removed........................................................46496 385 Removed........................................................46496 386.1 (d) removed..................................................46496 386.2--386.13 Removed..............................................20122 386 Appendix removed...............................................20122 387 Removed........................................................46496 388 Removed........................................................46496 389 Removed........................................................46497 389.7-1 Correctly added............................................35564 389.8-1 Correctly added............................................35564 Redesignated as 360.1..........................................46496 389.11 Redesignated as 360.2.......................................46496 390 Removed........................................................46496 391 Removed........................................................46496 392 Removed........................................................46496 393 Removed........................................................46496 394 Removed........................................................46496 395 Removed........................................................46496 396 Removed........................................................46496 Chapter IV 411 Added; interim............................................6737, 6747 Chapter V 500.32 (c) added...................................................13509 502 Revised........................................................34529 503.2 Added........................................................31371 506.1 (b) revised (OMB numbers)....................................22892 (b) table amended..............................................34546 510.5 Added.........................................................7695 528 Revised.........................................................1388 543.2 (b) and (d)(2) revised.......................................13510 543.9 (a) revised..................................................13510 544.2 (a), (c) and (e) revised; (d)(2) amended.....................13510 544.3 Introductory text amended....................................13511 544.5 (a) and (d) revised; (c)(2) amended..........................13511 545.32 (b)(1) amended..............................................34547 545.74 (c) introductory text, (3)(vi) and (g) revised..............13511 545.75 (b)(3) revised; interim.....................................11307 (b)(3) revised.................................................28162 545.77 (b) revised.................................................13512 545.82 (f)(1) introductory text, (3)(i), and (iii) revised.........13512 545.92 (c) revised.................................................13512 545.96 (b) revised.................................................13512 545.132 Removed....................................................34699 546.2 (d)(1) revised...............................................13512 546.4 Concluding text amended......................................13512 550.2 (a) revised..................................................13512 550.14 (a) revised.................................................13513 552.2-2 (b) revised................................................13513 552.4 (a), (d) and (f) revised; (e)(2) amended.....................13513 552.5 (c) and (e) revised; (d)(2) amended..........................13513 552.6-3 (a) amended................................................13514 552.10 Revised.....................................................13514 563.1 (b) revised..................................................13514 563.10 (c)(1) introductory text revised............................13514 563.22 (c)(2), (d)(1) and (f)(1) revised...........................13514 563.38 (b) amended.................................................13514 563.41 (b) revised.................................................13515 563.74 (e) revised.................................................13515 [[Page 603]] 563.75 (i) removed..................................................7300 (e) revised....................................................13515 563.80 (e)(2) revised...............................................7300 (e)(2) amended.................................................13515 563.81 (e) revised; (j) amended....................................13515 563.93 Revised; interim............................................11307 Revised........................................................28162 (a) corrected..................................................29453 563.98 (g)(1) revised..............................................13515 563.131 (c) introductory text revised..............................13515 563.132 (c) and (d) removed; (e) redesignated as new (c)............4602 (c)(1) introductory text, (3) and (5) revised..................13515 563.134 Added......................................................27196 563.170 (c)(1)(iv) revised.........................................34547 563.171 Redesignated as 564.8 and heading, (b), (c)(1), (2) and (d) introductory text revised..............................34549 563.172 (a) amended................................................34547 563.233 (e)(1) and (3)(i) revised; (e)(4) amended..................13516 563b.3 (i)(3)(i) revised...........................................13516 (g)(2) revised; (g)(3) removed; (g)(4) redesignated as (g)(3) 27197 563b.28 (a) revised................................................13516 563d.1 Amended.....................................................34531 563d.2 Revised......................................................3041 563e.4 (f) revised; interim........................................26628 563e.5 (a)(2) and (3) redesignated as (a)(3) and (4); new (a)(3), (4), (c)(1), and (2) revised; new (a)(2), new (c)(3), and (d) added; interim.........................................26628 563e.6 Existing text designated as (a) and amended; (b) added; interim....................................................26628 563f.7 Amended.....................................................13516 564 Added..........................................................34547 564.8 Redesignated from 563.171; heading, (b), (c)(1), (2), and (d) introductory text revised..............................34549 (c)(2) and (d) corrected.......................................43440 564 Appendix A added; interim; eff. 1-30-91.................53612, 53618 567.3 (d)(2)(i) introductory text revised..........................13516 567.4 (a)(3)(i) introductory text revised..........................13517 567.13 Added........................................................7478 571 Technical correction.............................................696 571.19 (e) amended...................................................126 571.27 Removed.....................................................34550 574.6 (b)(1)(i), (iv), (2) through (6), (d)(2) introductory text and (3) revised; (b)(1)(ii) and (d)(2) amended.............13517 584.1 (a)(4), (b) and (e) revised..................................13517 584.2-1 (c)(1) amended.............................................13518 584.2-2 (b) amended................................................13518 584.5 Amended......................................................13518 Chapter VI 600.10 (Subpart B) Regulation at 54 FR 50735 eff. 3-6-90............7884 611.1162 Regulation at 54 FR 1148 corrected........................10042 611.1167 Regulation at 54 FR 1148 corrected........................10042 611.1172 Regulation at 54 FR 1148 corrected........................10042 611.1174 Regulation at 54 FR 1148 corrected........................10042 612.2150 Regulation at 54 FR 50736 eff. 3-6-90......................7884 612.2160 Regulation at 54 FR 50736 eff. 3-6-90......................7884 613 Authority citation revised; sectional authority citations removed....................................................24877 Technical correction....................................25773, 41309 613.3000--613.3005 (Subpart A) Revised (effective date pending)....24877 Regulation at 55 FR 24877 eff. 7-30-90.........................30903 613.3000 Corrected.................................................28511 613.3005 Redesignated from 614.4160 (effective date pending).......24880 (c) corrected..................................................28511 Regulation at 55 FR 24880 eff. 7-30-90.........................30903 613.3010--613.3050 (Subpart B) Heading revised (effective date pending)...................................................24877 Regulation at 55 FR 24877 eff. 7-30-90.........................30903 613.3010 Revised (effective date pending)..........................24877 Regulation at 55 FR 24877 eff. 7-30-90.........................30903 613.3020 Revised (effective date pending)..........................24877 Regulation at 55 FR 24877 eff. 7-30-90.........................30903 613.3040 (d)(3) removed; (d)(4) redesignated as (d)(3); (d)(2) revised (effective date pending)...........................24878 [[Page 604]] Regulation at 55 FR 24878 eff. 7-30-90.........................30903 613.3045 Revised (effective date pending)..........................24878 (c)(4) corrected...............................................28511 Regulation at 55 FR 24878 eff. 7-30-90.........................30903 613.3050 (c) revised (effective date pending)......................24878 Regulation at 55 FR 24878 eff. 7-30-90.........................30903 613.3060 (Subpart C) Heading and section revised (effective date pending)...................................................24879 Regulation at 55 FR 24879 eff. 7-30-90.........................30903 613.3110 (Subpart D) Heading, (a)(4), (b) heading, (1) introductory text, (2), and (4) revised; (c) redesignated as (d); new (c) added (effective date pending).............24879 (c)(2) corrected...............................................28511 (b)(2)(i) correctly revised....................................28885 Regulation at 55 FR 24879 eff. 7-30-90.........................30903 613.3120 Added (effective date pending)............................24879 (b) correctly revised..........................................28885 Regulation at 55 FR 24879 eff. 7-30-90.........................30903 614 Sectional authority citations removed...................12473, 24879 Technical correction....................................25773, 41309 614.4000--614.4050 (Subpart A) Revised (effective date pending)....24880 Regulation at 55 FR 24880 eff. 7-30-90.........................30903 614.4030 Redesignated as 614.4100 (effective date pending).........24879 Regulation at 55 FR 24879 eff. 7-30-90.........................30903 614.4040 Redesignated as 614.4145 (effective date pending).........24879 (a)(3) corrected...............................................28511 Regulation at 55 FR 24879 eff. 7-30-90.........................30903 614.4050 Redesignated as 614.4135 (effective date pending).........24879 (b)(1)(ii) corrected...........................................28511 Regulation at 55 FR 24879 eff. 7-30-90.........................30903 614.4060 Redesignated as 614.4140 (effective date pending).........24879 Regulation at 55 FR 24879 eff. 7-30-90.........................30903 614.4070--614.4080 (Subpart B) Revised (effective date pending)....24882 Regulation at 55 FR 24882 eff. 7-30-90.........................30903 614.4090 Removed (effective date pending)..........................24879 Regulation at 55 FR 24879 eff. 7-30-90.........................30903 614.4100--614.4145 (Subpart C) Heading revised (effective date pending)...................................................24882 Regulation at 55 FR 24882 eff. 7-30-90.........................30903 614.4100 Removed; new 614.4100 redesignated from 614.4030..........24879 Revised (effective date pending)...............................24883 Regulation at 55 FR 24883 eff. 7-30-90.........................30903 614.4110 Revised (effective date pending)..........................24883 Regulation at 55 FR 24883 eff. 7-30-90.........................30903 614.4120 Revised (effective date pending)..........................24883 Regulation at 55 FR 24883 eff. 7-30-90.........................30903 614.4130 Removed (effective date pending)..........................24879 (a) and (b) redesignated from 614.4190 (c) and (d) (effective date pending)......................................................24880 Heading revised; (a), (b), and (c) amended (effective date pending)...........................................................24883 Regulations at 55 FR 24879 and 24883 eff. 7-30-90..............30903 614.4135 Redesignated from 614.4050 (effective date pending).......24879 Regulation at 55 FR 24879 eff. 7-30-90.........................30903 614.4140 Redesignated as 614.4150; new 614.4140 redesignated from 614.4060 (effective date pending)..........................24880 Regulation at 55 FR 24880 eff. 7-30-90.........................30903 614.4145 Redesignated from 614.4040 (effective date pending).......24879 Regulation at 55 FR 24879 eff. 7-30-90.........................30903 [[Page 605]] 614.4150 Redesignated as 614.4160 and revised; new 614.4150 redesignated from 614.4140 (effective date pending)........24880 Regulation at 55 FR 24880 eff. 7-30-90.........................30903 614.4160 Redesignated as 613.3005; new 614.4160 redesignated from 614.4150 (effective date pending)..........................24880 Revised........................................................24883 (e) corrected..................................................28511 Technical correction...........................................42303 Regulation at 55 FR 24880 eff. 7-30-90.........................30903 614.4165 (f) removed; (c) introductory text and (d) revised (effective date pending)...................................24883 Regulation at 55 FR 24883 eff. 7-30-90.........................30903 614.4170 Removed (effective date pending)..........................24883 Regulation at 55 FR 24883 eff. 7-30-90.........................30903 614.4180 Removed (effective date pending)..........................24883 Regulation at 55 FR 24883 eff. 7-30-90.........................30903 614.4190 (c) and (d) redesignated as 614.4130 (a) and (b) (effective date pending)...................................24880 (a) and (b) removed (effective date pending)...................24883 Regulations at 55 FR 24880 and 24883 eff. 7-30-90..............30903 614.4200--614.4233 (Subpart E) Revised (effective date pending)....24884 Regulation at 55 FR 24884 eff. 7-30-90.........................30903 614.4220 Redesignated as 614.4240 (effective date pending).........24880 (a) and (c) removed (effective date pending)...................24884 Regulations at 55 FR 24880 and 24884 eff. 7-30-90..............30903 614.4222 Corrected.................................................28511 614.4230 Removed (effective date pending)..........................24884 (a)(2) corrected...............................................28511 Regulation at 55 FR 24884 eff. 7-30-90.........................30903 614.4231 (a)(2)(iii) corrected.....................................28511 (a)(2) introductory text correctly revised.....................28885 614.4233 (b) correctly revised.....................................28886 Introductory text corrected....................................50544 614.4240--614.4261 (Subpart F) Heading revised (effective date pending)...................................................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4240 (b) redesignated as 614.4130 (c); new 614.4240 redesignated from 614.4220 (effective date pending)........24880 (a) and (c) removed (effective date pending)...................24884 Regulation at 55 FR 24880 eff. 7-30-90.........................30903 614.4250 Removed (effective date pending)..........................24885 Regulation at 55 FR 24885 eff. 7-30-90.........................30903 614.4260 Removed (effective date pending)..........................24885 Regulation at 55 FR 24885 eff. 7-30-90.........................30903 614.4280 Regulation at 55 FR 50736 eff. 3-6-90......................7884 614.4320 Regulation at 54 FR 50736 eff. 3-6-90......................7884 614.4321 Regulation at 54 FR 50736 eff. 3-6-90......................7884 614.4340 Regulation at 54 FR 50736 eff. 3-6-90......................7884 614.4345 Regulation at 54 FR 50736 eff. 3-6-90......................7884 614.4354 (a)(1)(iii), (vi), (viii), and (x) amended (effective date pending)..............................................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4460 Regulation at 54 FR 50736 eff. 3-6-90......................7884 614.4511 Regulation at 54 FR 50736 eff. 3-6-90......................7884 614.4525 (a) revised; (b) amended (effective date pending).........24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4530 Heading and introductory text amended (effective date pending)...................................................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4540--614.4660 (Subpart P) Heading revised (effective date pending)...................................................24886 Regulation at 55 FR 24886; eff. 7-30-90........................30903 [[Page 606]] 614.4540 (e) revised; (h) and (i) added (effective date pending) 24886 Regulation at 55 FR 24886; eff. 7-30-90........................30903 614.4545 (a), (b), (c) introductory text, (d) and (e) amended (effective date pending)...................................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4550 (a) introductory text, (1), (2), (3), and (b) amended (effective date pending)...................................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4555 Amended (effective date pending)..........................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4560 (a), (b)(1), (2), (3), (4), and (5) amended (effective date pending)..............................................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4565 Amended (effective date pending)..........................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4570 Amended (effective date pending)..........................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4580 Amended (effective date pending)..........................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4590 Amended (effective date pending)..........................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4600 (a) introductory text, (1) and (2) amended (effective date pending)..............................................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4610 Amended (effective date pending)..........................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4620 Amended (effective date pending)..........................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4630 (a) amended (effective date pending)......................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4640 Amended (effective date pending)..........................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4650 (a) introductory text, (1) and (b) amended (effective date pending)..............................................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4660 Amended (effective date pending)..........................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4700 (a) revised (effective date pending)......................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4710 Revised (effective date pending)..........................24886 Regulation at 55 FR 24886 eff. 7-30-90.........................30903 614.4720 Introductory text and (a) revised (effective date pending)...................................................24887 Regulation at 55 FR 24887 eff. 7-30-90.........................30903 614.4800 Revised (effective date pending)..........................24887 Regulation at 55 FR 24887 eff. 7-30-90.........................30903 614.4810 (a) introductory text and (b) amended (effective date pending)...................................................24887 Regulation at 55 FR 24887 eff. 7-30-90.........................30903 614.4900 (a), (b) introductory text and (i) revised (effective date pending)..............................................24887 Regulation at 55 FR 24887 eff. 7-30-90.........................30903 615 Authority citation correctly revised...........................12473 Authority citation revised; sectional authority citation removed............................................................24887 Technical correction.............................25773, 28511, 41309 615.5040 Regulation at 54 FR 50736 eff. 3-6-90......................7884 615.5104 Regulation at 54 FR 50736 eff. 3-6-90......................7884 615.5135 Regulation at 54 FR 50736 eff. 3-6-90......................7884 [[Page 607]] 615.5143 Regulation at 54 FR 50736 eff. 3-6-90......................7884 615.5160 (c) removed; (d) and (e) redesignated as (c) and (d); (a) and new (c) revised (effective date pending)...............24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 Heading correctly revised......................................38313 615.5190 Regulation at 54 FR 50736 eff. 3-6-90......................7884 (a) revised; (b) amended (effective date pending)..............24888 (b) correctly amended..........................................42184 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 615.5550 Revised (effective date pending)..........................24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 616 Removed (effective date pending)...............................24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 Technical correction.............................25773, 28511, 41309 618 Sectional authority citations removed..........................24888 Technical correction.............................25773, 28511, 41309 618.8050 Revised (effective date pending)..........................24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 618.8060 Regulation at 54 FR 50736 eff. 3-6-90......................7884 618.8430 Revised (effective date pending)..........................24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 619 Authority citation revised; sectional authority citations removed....................................................24888 Technical correction.............................25773, 28511, 41309 619.9015 Added (effective date pending)............................24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 619.9020 Redesignated as 619.9025; new 619.9020 added (effective date pending)..............................................24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 619.9025 Redesignated from 619.9020 (effective date pending).......24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 619.9050 Revised (effective date pending)..........................24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 619.9060 Redesignated as 619.9065; new 619.9060 added (effective date pending)..............................................24888 Correctly revised..............................................28886 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 619.9065 Redesignated from 619.9060 (effective date pending).......24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 619.9080 Amended (effective date pending)..........................24889 Regulation at 55 FR 24889 eff. 7-30-90.........................30903 619.9135 Redesignated as 619.9146 (effective date pending).........24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 Added (effective date pending).................................24889 Regulation at 55 FR 24889 eff. 7-30-90.........................30903 619.9140 Redesignated as 619.9150 (effective date pending).........24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 Added (effective date pending).................................24889 Regulation at 55 FR 24889 eff. 7-30-90.........................30903 619.9145 Added (effective date pending)............................24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 619.9146 Redesignated from 619.9135 and revised (effective date pending)...................................................24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 Revised (effective date pending)...............................24889 Regulation at 55 FR 24889 eff. 7-30-90.........................30903 [[Page 608]] 619.9150 Redesignated as 619.9160; new 619.9150 redesignated from 619.9140 (effective date pending)..........................24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 619.9155 Added (effective date pending)............................24889 Regulation at 55 FR 24889 eff. 7-30-90.........................30903 619.9160 Redesignated as 619.9165 and amended (effective date pending)...................................................24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 619.9165 Redesignated from 619.9160 and amended (effective date pending)...................................................24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 619.9185 Added (effective date pending)............................24888 Regulation at 55 FR 24888 eff. 7-30-90.........................30903 619.9290 Amended (effective date pending)..........................24889 Regulation at 55 FR 24889 eff. 7-30-90.........................30903 619.9320 Amended (effective date pending)..........................24889 Regulation at 55 FR 24889 eff. 7-30-90.........................30903 Chapter VII 700 Authority citation revised......................................1794 700.1 (h) and (i) removed; (j) through (m) redesignated as (h) through (k).................................................1794 701 Authority citation revised......................................1794 701.6 (d) added.....................................................1799 701.14 Added.......................................................43086 701.19 Existing regulation confirmed...............................30198 701.21 (c)(7) revised...............................................1797 (a) revised....................................................30207 701.32 Heading revised; (d) added...................................1794 705 Authority citation revised......................................1794 705.3 Revised.......................................................1794 722 Added..........................................................30207 Appendix A added; interim; eff. 1-30-91.................53612, 53618 724 Revised........................................................30211 741 Authority citation revised........................1794, 30210, 43089 741.4 Redesignated as 741.5; new 741.4 added.......................30210 741.5 Revised.......................................................1794 Redesignated as 741.6; new 741.5 redesignated from 741.4.......30210 741.6 Redesignated as 741.7; new 741.6 redesignated from 741.5.....30210 741.7 Redesignated as 741.8; new 741.7 redesignated from 741.6.....30210 741.8 Redesignated as 741.9; new 741.8 redesignated from 741.7.....30210 Redesignated as 741.9; new 741.8 added.........................43087 741.9 (k) added.....................................................1799 Redesignated as 741.10; new 741.9 redesignated from 741.8......30210 Redesignated as 741.10; new 741.9 redesignated from 741.8......43087 741.10 Redesignated as 741.11; new 741.10 redesignated from 741.9 30210 Redesignated as 741.11; new 741.10 redesignated from 741.9.....43087 741.11 Redesignated as 741.12; new 741.11 redesignated from 741.10 30210 Redesignated as 741.12; new 741.11 redesignated from 741.10....43087 741.12 Redesignated from 741.11....................................30210 Redesignated as 741.13; new 741.12 redesignated from 741.11....43087 741.13 Redesignated from 741.12....................................43087 741.14 Added.......................................................43089 745 Heading and authority citation revised..........................5586 745.0--745.13 Designated as Subpart A; heading added................5586 745.200--745.203 (Subpart B) Added..................................5586 745 Appendix amended...............................................47455 747 Authority citation revised...............................5589, 43090 Heading revised................................................31038 747.1001--747.1003 (Subpart J) Added................................5590 747.1101--747.1107 (Subpart K) Added................................5590 747.1201--747.1205 (Subpart L) Added...............................43090 749 Revised........................................................30212 Chapter IX 910 Authority citation revised......................................2229 910.1 Amended.......................................................2229 [[Page 609]] 910.5 Amended.......................................................2229 910.6 Amended.......................................................2229 912 Authority citation revised......................................2229 912.1 (b) amended...................................................2228 912.4 (b) amended...................................................2229 931 Authority citation revised................................1397, 2229 931.3 Revised.......................................................2229 931.6 Removed......................................................41996 931.14 Added; interim...............................................1397 931.15 Added; interim...............................................1397 931.16 Added; interim...............................................1397 931.17 Added; interim...............................................1397 931.18 Added; interim...............................................1397 931.19 Added; interim...............................................1397 931.20 Added; interim...............................................1397 931.21 Added; interim...............................................1397 931.22 Added; interim...............................................1398 931.23 Added; interim...............................................1398 931.24 Added; interim...............................................1398 931.25 Added; interim...............................................1398 932 Authority citation revised......................................1398 Effective date..................................................2229 Undesignated center headings removed; interim...................1398 932.14 (d) amended; interim.........................................1398 932.18 Added; interim...............................................1398 932.19 Added; interim...............................................1399 932.20 Added; interim...............................................1399 932.21 Added; interim...............................................1399 932.22 Added; interim...............................................1400 932.42 Removed; interim.............................................1400 932.60 (b) amended..................................................2228 932.65 Removed......................................................2229 933 Authority citation revised......................................2229 933.5 (b), (c) (1), (d), (f), and (g) amended; (c) heading and introductory text revised...................................2229 933.6 Removed.......................................................2229 933.13 Undesignated center heading and section removed.............41996 933.14 Removed......................................................2229 933.15 Removed......................................................2229 933.16 Removed......................................................2229 933.17 Removed......................................................2229 933.31 Undesignated center heading and section removed.............41996 934 Authority citation revised.....................................50545 934.3 Amended.......................................................2229 934.5 Introductory text amended.....................................2229 934.6 Amended.......................................................2229 934.11 Amended......................................................2229 934.12 Amended......................................................2229 934.15 Added; interim..............................................50545 935 Authority citation revised......................................2229 935.1 (a) and (b) amended...........................................2229 935.33 Amended......................................................2229 936 Authority citation revised......................................2230 Removed........................................................41996 936.1 (a) and (c) amended...........................................2230 937 Authority citation revised......................................2230 937.2 (c) amended...................................................2230 937.4 Amended.......................................................2230 937.6 Amended.......................................................2230 937.8 Amended.......................................................2230 938 Authority citation revised......................................2230 Removed........................................................41996 938.1 Introductory text and (a) amended.............................2230 938.2 Amended.......................................................2230 938.3 Cross-reference amended.......................................2230 938.4 Cross-reference amended.......................................2230 938.5 Cross-reference and (a) introductory text amended.............2230 938.7 (b) amended...................................................2230 938.8 (d)(1) amended................................................2230 938.9 (f) introductory text amended.................................2230 938.10 Amended......................................................2230 939 Authority citation revised......................................2230 939.1 Amended.......................................................2228 939.2 (b) revised...................................................2230 939.3 Introductory text and (d) amended.............................2230 939.8 (a)(2) removed; (a)(3) redesignated as (a)(2); (b) and (c)(3) amended..............................................2230 939.9 (a) and (e) amended; (d)(1) revised...........................2230 939.10 (c) amended..................................................2230 939.12 (c) amended..................................................2231 940 Authority citation revised......................................2231 940.2 (a) and (b)(3) amended........................................2231 940.4 (a) and (c)(7) and (8) amended................................2231 Removed........................................................41996 940.5 (d) amended...................................................2231 940.6 Removed......................................................41996 941 Authority citation revised......................................2231 Removed........................................................41996 941.1 Amended.......................................................2231 942 Authority citation revised......................................2231 Removed........................................................41996 943 Authority citation revised......................................2231 943.4 Introductory text amended.....................................2231 944 Authority citation revised......................................2231 Removed........................................................41996 944.1 (b) amended...................................................2231 950 Authority citation revised......................................2231 955 Authority citation revised......................................2231 [[Page 610]] 960 ([hairsp]Subchapter E and Part) Added; interim..................7485 Chapter XIV Chapter XIV Established (effective date pending)...................36610 Regulation at 55 FR 36610 eff. 10-9-90.........................41185 1400 Added (effective date pending)................................36610 Regulation at 55 FR 36610 eff. 10-9-90.........................41185 Chapter XV 1505 Added; interim.................................................5358 1505.19 (b) corrected..............................................11719 1505.26 Corrected..................................................11719 1505.27 (d) corrected..............................................11719 1505.33 Corrected..................................................11719 1505.40 (c)(3) corrected...........................................11719 1506 (Subchapter A and Part) Added............................5350, 5356 1506.4 (a)(1), (b)(2), (4), and (c) corrected......................11720 1506.5 Section designation and (a) introductory text corrected.....11720 1506.7 (g) corrected...............................................11720 1506.15 (c) corrected..............................................11720 Chapter XVI Chapter XVI Established.............................................5356 1605 Added..........................................................5370 1606 Added....................................................5350, 5356 1606.4 (a)(1), (b)(2), (4), and (c) corrected......................11720 1606.5 Section designation and (a) introductory text corrected.....11720 1606.7 (g) corrected...............................................11720 1606.15 (c) corrected..............................................11720 1608 Added.........................................................34228 Appendix A added; interim; eff. 1-30-91.................53612, 53618 1609 Added; interim................................................14084 Revised........................................................35568 1611 Added (eff. date pending in part).............................22328 1991 12 CFR 56 FR Page Chapter I 4 Authority citation revised.......................................22639 4.15 (a)(11) added; interim........................................22639 7.3400 Removed.....................................................28316 19 Authority citation revised......................................22639 Revised........................................................38028 19.5 (b)(6) corrected..............................................41726 19.6 (a)(3) corrected.......................................41726, 63551 19.17 Corrected....................................................41726 19.40 (b) revised; interim.........................................22639 19.43 Revised; interim.............................................22640 19.44 Revised; interim.............................................22640 19.190 Corrected...................................................41726 19.197 (c) corrected...............................................46667 21.1--21.4 (Subpart A) Revised.....................................29564 21.11 (f)(1) revised; OMB number...................................29564 21 Appendixes A and B removed......................................29564 23 Added...........................................................28316 25.4 Regulation at 55 FR 26626 confirmed...........................26901 25.5 Regulation at 55 FR 26626 confirmed; (a)(3) and (c)(3) revised....................................................26901 25.6 Regulation at 55 FR 26626 confirmed...........................26901 32.2 (d) revised; (f) added........................................37275 32.9 Added.........................................................37276 34.41--34.47 (Subpart C) Appendix A corrected.......................1229 Chapter II 201.51 Revised...........................1567, 6556, 22641, 48731, 58303 201.52 Revised...........................1567, 6556, 22641, 48731, 58303 202 Appendix A amended.............................................51322 Supplement I amended....................................14462, 16265 203 Order...........................................................5746 203.2 (c)(2) amended; (e)(2) revised...............................59857 203.4 (a) introductory text revised................................59857 (a) introductory text corrected................................66343 203.6 (a) revised..................................................59857 203 Appendix A revised.............................................59857 204.2 (b)(3)(ii)(A), (c)(1)(i) footnote 1, (d)(2), (e)(2), and (f)(2) revised; (e)(4) amended; (b)(3)(iv) removed; (b)(3)(v) and (vi) redesignated as (b)(3)(iv) and (v)......15494 204.7 (a) revised..................................................15495 204.8 (a)(2)(i)(B)(5) footnote 14 revised..........................15495 204.9 (a)(1 and (2) revised........................................60055 204.121--204.132 Undesignated center heading added.................15495 204.125 Heading and introductory text revised; list amended........15495 207 OTC margin stock list......................3773, 19548, 35807, 55442 [[Page 611]] 207.1 (b) redesignated as (b)(1); (b)(2) added.....................46110 207.3 (l)(1)(i), (ii) and (3) revised..............................46111 207.13 Added.......................................................46228 208.125 Regulation at 55 FR 52987 effective date corrected...........627 208.126 Regulation at 55 FR 52987 effective date corrected...........627 208.127 Regulation at 55 FR 52987 effective date corrected...........627 208.128 Added......................................................63407 208 Appendix A amended.............................................51156 211 Authority citation revised.....................................19565 211.1--211.7 (Subpart A) Revised...................................19565 Regulation at 56 FR 19565 effective date corrected.............23010 211.21 Revised.....................................................19574 Regulation at 56 FR 19574 effective date corrected.............23010 211.22 (a)(2) and (5) revised......................................19574 Regulation at 56 FR 19574 effective date corrected.............23010 211.23 (d), (e), (f)(4), (5), (g) and (h) revised; (i) added.......19574 Regulation at 56 FR 19574 effective date corrected.............23010 211.31--211.34 (Subpart C) Revised.................................19575 Regulation at 56 FR 19575 effective date corrected.............23010 211.603 Added......................................................63408 213 Authority citation revised.....................................51322 Appendix D amended.............................................51322 Authority citation corrected...................................65130 216 Revised........................................................13071 220 OTC margin stock list......................3773, 19548, 35805, 55442 220.14 Heading and (b) revised.....................................46110 221 OTC margin stock list......................3773, 19548, 35805, 55442 221.3 (i)(1)(i), (ii) and (3) revised..............................46111 (i)(1)(i) correctly designated.................................66120 221.124 Added......................................................46228 224 OTC margin stock list......................3773, 19548, 35805, 55442 225 Heading corrected...............................................1229 225.6 (a) amended..................................................38052 225 Appendix A amended.............................................51156 226 Preemption determination........................................3005 Authority citation revised.....................................13754 Supplement I amended...........................................13754 Supplement I corrected..................................22200, 23993 Appendix I amended.............................................51322 228.4 Regulation at 55 FR 26627 confirmed..........................26902 228.5 Regulation at 55 FR 26626 confirmed; (a)(3) and (c)(3) revised....................................................26902 228.6 Regulation at 55 FR 26627 confirmed..........................26902 229.12 (a), (b) introductory text (4) and (c)(1) introductory text revised; (d) amended and (f) revised; final.................7801 (a), (b) introductory text, (4), (c)(1) introductory text, (d) and (f) corrected..................................................66343 229 Appendixes C and E amended; final...............................7802 Appendix E corrected...........................................66343 250.101 Regulation at 55 FR 52987 effective date corrected...........627 250.102 Regulation at 55 FR 52987 effective date corrected...........627 250.103 Regulation at 55 FR 52987 effective date corrected...........627 250.104 Regulation at 55 FR 52987 effective date corrected...........627 261.10 Regulation at 55 FR 49877 confirmed.........................29412 262.3 (i)(2) amended...............................................38052 (i)(2) corrected...............................................60056 263 Revised........................................................38052 263.16 Corrected...................................................60056 265 Revised........................................................25619 Authority citation revised.....................................67153 265.2 (c)(10) and (f)(7)(i) revised; (c)(24), (26) and (f)(7)(ii) removed; (f)(50) and (51) added.............................6261 (b)(14), (c)(37) and (f)(52) added..............................8687 (c)(38) added; (f)(46)(iii) and (v) removed; (f)(46)(iv) and (vi) redesignated as (f)(46)(iii) and (iv); (f)(46)(ii) revised; (f)(53) added......................................................19576 Regulation at 56 FR 19576 effective date corrected; (c)(38) corrected..........................................................23010 265.4 (a)(2) amended...............................................67154 265.5 (c)(2) revised...............................................67153 (d)(1) introductory text and (2) introductory text amended.....67154 265.6 (a)(4), (c)(3), (5) and (d)(2) amended.......................67154 [[Page 612]] 265.7 Heading, introductory text, (a)(2), (4), (c)(2), (4)(i), (d)(2), (3), (5), (7)(i), (e)(3) and (f)(2) amended; (c)(6) added; (e)(5), (6) and (f)(10) revised; revised....67153, 67154 265.9 (b) revised..................................................67154 265.11 (a)(2), (3), (13), (15) introductory text, (c)(6), (9)(i) and (d)(2) introductory text amended; (f) revised..........67154 268.101 (b) revised................................................32955 268.1001--268.1004 (Subpart J) Added...............................32955 268.1001 Revised...................................................64190 268.1002 Revised...................................................64191 271 Authority citation revised.....................................23994 271.1 Revised......................................................23994 271.2 (b) revised; (c) and (d) added...............................23994 271.4 (c) revised; (f) removed.....................................23994 271.5 (b)(3) revised...............................................23995 271.6 (b) and (d) revised; (e) and (f) amended; (g) and (h) added 23995 271.8 Added........................................................23995 271 Appendix A added...............................................23996 Chapter III 303 Authority citation revised.....................................23011 303.0 (b)(21), (22) and (23) amended...............................23011 303.9 (i)(3) revised...............................................18684 (a)(1) and (2) amended.........................................23011 303.10 (c)(1)(i) amended...........................................23011 308 Revised........................................................37975 312 Authority citation revised.....................................29895 312.2 Revised......................................................29895 312.3 Revised......................................................29895 323 Appendix A corrected............................................1229 324 Authority citation revised.....................................23011 324.4 Amended......................................................23011 325 Authority citation revised.....................................10160 325.1 Revised......................................................10160 325.2 Revised......................................................10160 325.3 Revised......................................................10162 325.4 Revised......................................................10162 325.5 Revised......................................................10163 325.6 Revised......................................................10164 325.101 Removed....................................................10165 325.102 Removed....................................................10165 325 Appendix A amended.............................................10165 Appendix B added...............................................10166 326.0--326.4 (Subpart A) Revised...................................13581 326 Appendixes A and B removed.....................................13582 327.13 (c) revised.................................................21068 333 Authority citation revised.....................................20528 333.3 Added........................................................20528 338 Authority citation revised.....................................50038 338.1--338.4 Designated as subpart A and heading added.............50040 338.1 Revised......................................................50038 338.2 Redesignated as 338.3; new 338.2 added.......................50039 338.3 Redesignated as 338.4; new 338.3 redesignated from 338.2; (a)(1) revised.............................................50039 338.4 Redesignated as 338.7; new 338.4 redesignated from 338.3.....50039 338.5--338.9 Designated as subpart B and heading added.............50040 338.5 Redesignated as 338.9; new 338.5 added.......................50039 338.6 Added........................................................50040 338.7 Redesignated from 338.4; (a)(1) introductory text, (i) heading, (B)(3), (2) introductory text, (i) heading, (B)(3), (c), and (d) revised; (a) footnote 2 and (a)(2)(ii) footnote 3 redesignated as footnote 1 and footnote 2 and republished; (a)(2)(iv), (f) and (g) removed (OMB number).......................................50039 338.8 Added........................................................50040 338.9 Redesignated from 338.5; text amended; (a), (b) and (c) added......................................................50039 338.5--338.9 (Subpart B) Appendix A redesignated from Appendix A to part 338 and revised....................................50040 Appendix B added...............................................50042 338 Appendix A designated as Appendix A to subpart B and revised 50040 345.4 Regulation at 55 FR 26627 confirmed..........................26904 345.5 Regulation at 55 FR 26627 confirmed; (a)(3) and (c)(3) revised (OMB number).......................................26904 345.6 Regulation at 55 FR 26627 confirmed..........................26904 Chapter V 505.2 Revised......................................................59866 505.3 Revised......................................................59866 505.4 Revised......................................................59866 506.1 (b) table amended.....................................29566, 34010 508.4 (b) amended..................................................38306 508.6 (c) amended..................................................38306 508.7 (a) amended..................................................38306 508.13 (b) amended.................................................38306 [[Page 613]] 508.14 Amended.....................................................38306 509 Revised........................................................38306 509.1 (c) revised..................................................59866 512.7 (b) introductory text and (4) amended........................38317 513.1 Amended......................................................38317 513.5 (b) amended..................................................38318 545.12 (b) amended.................................................59866 545.121 (g) amended................................................59866 552.6-2 (a) and (b) amended........................................59866 563.41 (b) and (c) redesignated as 563.43(e) and (f); removed......34010 Added..........................................................34011 563.42 Added.......................................................34013 563.43 (e) and (f) redesignated from 563.41(b) and (c); heading and (a) revised............................................34010 (f) introductory text revised..................................59866 563.45 Amended.....................................................59866 563.50 Added.......................................................31067 563.51 Added.......................................................31067 563.52 Added.......................................................31068 563.50--563.52 Appendix A added....................................31069 563.93 (a) and (d)(1) revised; (b)(3) and (7) removed; (b)(4), (5), (6) and (8) through (13) redesignated as (3) through (11); (f)(2) amended.......................................34014 563.98 Removed.....................................................59866 563.132 (a)(4) amended.............................................59867 563.180 (d)(2) introductory text revised...........................29566 (d)(2) introductory text corrected.............................32474 563b.3 (f)(1) amended..............................................59867 563e.4 Regulation at 55 FR 26628 confirmed.........................26906 563e.5 Regulation at 55 FR 26628 confirmed; (a)(3) and (c)(3) revised....................................................26906 563e.6 Regulation at 55 FR 26628 confirmed.........................26906 564 Technical correction.............................................778 Appendix A corrected............................................1229 568 Revised........................................................29566 584.6 Revised......................................................31070 Chapter VI 600.1 Amended (effective date pending)..............................2672 Regulation at 56 FR 2672 eff. 3-4-91............................8910 600.5 (b)(1), (2), (3), and (6) revised (effective date pending) 2672 Regulation at 56 FR 2672 eff. 3-4-91............................8910 601 Authority citation revised......................................2673 601.101 (a) introductory text and (b) amended (effective date pending)....................................................2673 Regulation at 56 FR 2673 eff. 3-4-91............................8910 601.141 Amended (effective date pending)............................2673 Regulation at 56 FR 2673 eff. 3-4-91............................8910 602 Authority citation revised; sectional authority citations removed.....................................................2673 602.220 Amended (effective date pending)............................2673 Regulation at 56 FR 2673 eff. 3-4-91............................8910 602.250 (a)(5) amended (effective date pending).....................2673 Regulation at 56 FR 2673 eff. 3-4-91............................8910 (a)(7) revised (effective date pending)........................28476 Regulation at 56 FR 28476 eff. 7-29-91.........................35808 602.260 Amended (effective date pending)...........................28476 Regulation at 56 FR 28476 eff. 7-29-91.........................35808 602.261 (b), (c) and (d) amended (effective date pending)..........28476 Regulation at 56 FR 28476 eff. 7-29-91.........................35808 602.262 Added (effective date pending).............................28476 Regulation at 56 FR 28476 eff. 7-29-91.........................35808 602.265 Removed (effective date pending)...........................28477 Regulation at 56 FR 28477 eff. 7-29-91.........................35808 602.265--602.272 (Subpart C) Added (effective date pending)........28477 Regulation at 56 FR 28477 eff. 7-29-91.........................35808 602.280--602.289 (Subpart C) Redesignated as Subpart D (effective date pending)..............................................28477 Regulation at 56 FR 28477 eff. 7-29-91.........................35808 603 Authority citation revised......................................2673 603.340 (a) and (b) amended (effective date pending)................2673 Regulation at 56 FR 2673 eff. 3-4-91............................8910 [[Page 614]] 603.345 Amended (effective date pending)...........................28479 Regulation at 56 FR 28479 eff. 7-29-91.........................35808 603.355 Revised (effective date pending)............................2673 Regulation at 56 FR 2673 eff. 3-4-91............................8910 604 Authority citation revised......................................2673 604.420 (i)(1) amended (effective date pending).....................2673 Regulation at 56 FR 2673 eff. 3-4-91............................8910 604.425 (a) amended (effective date pending)........................9611 Regulation at 56 FR 9611 eff. 4-22-91..........................16265 604.435 (e) amended (effective date pending)........................2673 Regulation at 56 FR 2673 eff. 3-4-91............................8910 606.670 (c) amended (effective date pending)........................2674 Regulation at 56 FR 2674 eff. 3-4-91............................8910 611 Sectional authority citations removed...........................3407 611.1122 (b)(1) and (2) removed (effective date pending)............2674 Regulation at 56 FR 2674 eff. 3-4-91............................8910 611.1135 (a) amended (effective date pending).......................2674 Regulation at 56 FR 2674 eff. 3-4-91............................8910 611.1168 (d) introductory text, (2), (3) and (e) introductory text amended (effective date pending)...........................29420 (d)(3) corrected...............................................42649 Regulation at 56 FR 29420 eff. 9-10-91.........................46111 611.1175 (d) introductory text, (2), (3) and (e) introductory text amended (effective date pending)...........................29420 (d)(3) corrected...............................................42649 Regulation at 56 FR 29420 eff. 9-10-91.........................46111 611.1182 (d) amended (effective date pending)......................29421 Regulation at 56 FR 29421 eff. 9-10-91.........................46111 611.1200--611.1270 (Subpart P) Added (effective date pending).......3407 Regulation at 56 FR 3407 eff. 3-11-91..........................10169 611.1205 (g) corrected.............................................11589 611.1210 (b)(2) corrected..........................................11589 611.1212 (c) corrected.............................................11589 611.1215 (d) corrected.............................................11589 611.1225 (k), (p), (t)(3)(ii), (u) and (v) corrected...............11589 611.1255 (a) corrected.............................................11589 611.1260 (h) corrected.............................................11589 611.1270 Corrected.................................................11589 612 Authority citation revised...............................2674, 32957 612.2080 Removed (effective date pending)..........................32957 Regulation at 56 FR 32957 eff. 9-23-91.........................48097 612.2090 Removed (effective date pending)..........................32957 Regulation at 56 FR 32957 eff. 9-23-91.........................48097 612.2120 Removed (effective date pending)..........................32957 Regulation at 56 FR 32957 eff. 9-23-91.........................48097 612.2130 (l), (p), and (t) revised (effective date pending).........2674 Regulation at 56 FR 2674 eff. 3-4-91............................8910 (l), (p) and (t) corrected.....................................12298 612.2150 (b)(6) and (c) introductory text amended (effective date pending)....................................................2674 Regulation at 56 FR 2674 eff. 3-4-91............................8910 612.2160 (a), (b), and (c) amended (effective date pending).........2674 Regulation at 56 FR 2674 eff. 3-4-91............................8910 612.2170 (a) amended (effective date pending).......................2674 Regulation at 56 FR 2674 eff. 3-4-91............................8910 612.2180 (a) and (b) amended (effective date pending)...............2674 Regulation at 56 FR 2674 eff. 3-4-91............................8910 612.2230 (a)(1) amended (effective date pending)....................2674 Regulation at 56 FR 2674 eff. 3-4-91............................8910 613.3045 (b)(2)(ii) amended; (c) redesignated as (e); new (c) and (d) added (effective date pending).........................65989 [[Page 615]] 614.4233 Introductory text corrected................................5927 614.4310 Removed (effective date pending)...........................2674 Regulation at 56 FR 2674 eff. 3-4-91............................8910 614.4460 (c) amended (effective date pending).......................2674 Regulation at 56 FR 2674 eff. 3-4-91............................8910 614.4640 Revised (effective date pending)...........................2674 Regulation at 56 FR 2674 eff. 3-4-91............................8910 615 Authority citation corrected...................................12298 615.5103 Removed (effective date pending)...........................2674 Regulation at 56 FR 2674 eff. 3-4-91............................8910 615.5120 (a) amended (effective date pending).......................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 615.5135 Transferred to Subpart E (effective date pending)..........2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 615.5150 (c) amended (effective date pending).......................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 615.5151 Revised (effective date pending)...........................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 Corrected......................................................12298 615.5180 Amended (effective date pending)...........................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 Corrected......................................................12298 615.5190 (b) amended (effective date pending).......................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 615.5201 (f) amended (effective date pending).......................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 615.5210 (d)(2)(i) and (ii) amended (effective date pending)........2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 615.5250 (d)(2) amended (effective date pending)....................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 617 Sectional authority citations removed...........................2675 617.7110 (d) amended (effective date pending).......................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 617.7150 (b) amended (effective date pending).......................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 618.8030 (b)(2) and (3)(v) revised (effective date pending)........65990 618.8210 Amended (effective date pending)...........................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 618.8320 (b)(2) revised (effective date pending)....................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 618.8325 (d) removed (effective date pending).......................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 618.8360 Introductory text and (d) through (h) removed; (a)(5) revised (effective date pending)............................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 (a)(5) corrected...............................................12298 619 Authority citation revised; sectional authority citations removed.....................................................2675 619.9146 Amended (effective date pending)...........................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 620.1--620.3 (Subpart A) Heading revised...........................29421 Regulation at 56 FR 29421 eff. 9-10-91.........................46111 620.1 (i) removed; (b) through (h) and (j) redesignated as (o), (e) through (i), (n) and (p); introductory text, new (b) through (d), new (j) through (m) and (q) added; new (g) and (i) revised (effective date pending)...................29421 (q) correctly designated.......................................42649 Regulation at 56 FR 29421 eff. 9-10-91.........................46111 [[Page 616]] 620.2 (a), (b) and (c) redesignated as 620.4; (a), (b) and (c); (j) removed; (d) through (i) and (k) redesignated as (a) through (g); introductory text, (h) and (i) added; heading, new (a) and new (g) revised; new (b)(3), new (c) and new (f) amended (effective date pending)...............29421 Regulation at 56 FR 29421 eff. 9-10-91.........................46111 620.3 Redesignated as 620.5 (effective date pending)...............29421 Added (effective date pending).................................29422 Regulations at 56 FR 29421 and 29422 eff. 9-10-91..............46111 620.4--620.5 (Subpart B) Added (effective date pending)............29421 Regulation at 56 FR 29421 eff. 9-10-91.........................46111 620.4 (a), (b) and (c) redesignated from 620.2; (a), (b) and (c) (effective date pending)...................................29421 Heading added; (b) revised; (c) amended (effective date pending)...........................................................29422 (b) corrected..................................................42649 Regulations at 56 FR 29421 and 29422 eff. 9-10-91..............46111 620.5 Redesignated from 620.3 (effective date pending).............29421 (c) text designated as (c)(1); (m)(2) removed; (g)(1)(iii), (2)(vi), (4)(v) and (m)(3) redesignated as (g)(1)(iv), (2)(vii), (4)(vi) and (m)(2); (a)(3), (9), (c) heading, (d), (e)(1), (2), (f), (g) introductory text, (1)(i), (2)(ii), (iii), (4)(ii), (j)(3)(i), (m)(1), new (g)(1)(iv) heading, (D) and (g)(4)(vi) revised; (c)(2), (e)(4), new (g)(1)(iii), (iv)(E), (2)(vi), (3)(ii)(C) and new (4)(v) added; (a)(4), (b) and (g)(2)(v) amended (effective date pending)...........................................29422 (g)(1)(iv)(E) and (j)(3)(i) corrected..........................42649 Regulations at 56 FR 29421 and 29422 eff. 9-10-91..............46111 620.10--620.11 (Subpart B) Redesignated as Subpart C (effective date pending)..............................................29421 Regulation at 56 FR 29421 eff. 9-10-91.........................46111 620.10 Revised (effective date pending)............................29424 Regulation at 56 FR 29424 eff. 9-10-91.........................46111 620.11 (a) and (d)(3) revised; (b)(3) removed; (b)(4) through (9) redesignated as (b)(3) through (8); (b) introductory text and (d)(4) added; new (b)(8) and (c) amended (effective date pending)..............................................29424 Regulation at 56 FR 29424 eff. 9-10-91.........................46111 620.20--620.22 (Subpart C) Redesignated as Subpart D (effective date pending)..............................................29421 Regulation at 56 FR 29421 eff. 9-10-91.........................46111 620.20 Heading revised; (c) amended; (d) through (h) removed (effective date pending)...................................29425 Regulation at 56 FR 29425 eff. 9-10-91.........................46111 620.21 (c)(4) and (d)(5) amended (effective date pending)..........29425 (c)(4) corrected...............................................42649 Regulation at 56 FR 29425 eff. 9-10-91.........................46111 620.22 Removed (effective date pending)............................29425 Regulation at 56 FR 29425 eff. 9-10-91.........................46111 620.30--620.32 (Subpart D) Redesignated as Subpart E (effective date pending)..............................................29421 Regulation at 56 FR 29421 eff. 9-10-91.........................46111 620.32 Removed (effective date pending)............................29425 Regulation at 56 FR 29425 eff. 9-10-91.........................46111 620.40 (Subpart E) Redesignated as Subpart F (effective date pending)...................................................29421 Regulation at 56 FR 29421 eff. 9-10-91.........................46111 621.1 Amended (effective date pending)..............................2675 Regulation at 56 FR 2675 eff. 3-4-91............................8910 621.2 (a)(11) introductory text and (12) amended (effective date pending)....................................................2676 Regulation at 56 FR 2676 eff. 3-4-91............................8910 [[Page 617]] (a)(8) introductory text amended (effective date pending)......29425 Regulation at 56 FR 29425 eff. 9-10-91.........................46111 621.10 (c) amended (effective date pending).........................2676 Regulation at 56 FR 2676 eff. 3-4-91............................8910 Chapter VII 701.21 (c)(7) revised..............................................37831 (h) revised....................................................48425 701.23 (b)(3) revised..............................................15036 (b)(2) revised.................................................35811 (b)(2) effective date corrected................................37276 703 Revised........................................................56003 703.5 (e) revised; eff. 3-1-92.....................................56005 705.7 (d) revised..................................................67155 709 Added..........................................................56925 722 Appendix A corrected............................................1229 741 Authority citation revised.....................................35811 741.3 Revised......................................................35811 Effective date corrected.......................................37276 741.4 Revised......................................................35811 Effective date corrected.......................................37276 (a)(3) corrected...............................................44129 747 Revised........................................................37767 Chapter IX 900 Added..........................................................67155 922 Added..........................................................55218 Technical correction....................................56691, 58964 931 Authority citation revised.....................................55219 Technical correction....................................56691, 58964 931.14 Revised.....................................................55219 931.15 Revised.....................................................55219 931.16 Revised.....................................................55219 931.17 Revised.....................................................55219 931.18 Revised.....................................................55219 931.19 Revised.....................................................55219 931.20 Revised.....................................................55219 931.21 Revised.....................................................55219 931.23 Revised.....................................................55219 931.26 Added.......................................................55219 931.30 Added.......................................................55220 931.32 Added.......................................................55220 931.34 Added.......................................................55220 931.36 Added.......................................................55220 931.38 Added.......................................................55220 931.40 Added.......................................................55220 932 Authority citation revised.....................................55220 Technical correction....................................56691, 58964 932.18 Revised.....................................................55220 OMB number.....................................................56929 OMB number corrected...........................................58964 932.19 Revised.....................................................55221 932.20 Introductory text revised; table amended....................55221 932.21 Revised.....................................................55222 OMB number.....................................................56929 OMB number corrected...........................................58964 932.22 Revised.....................................................55222 932.23 Added.......................................................55222 OMB number.....................................................56929 OMB number corrected...........................................58964 936 Added..........................................................58647 960 (Subchapter E) Revised..........................................8694 Chapter XIV 1410 Added..........................................................3201 1410.2 (g)(1)(iii) correctly designated............................10302 1410.3 (c)(2) corrected............................................13211 1410.4 (a) corrected...............................................10302 1410.6 (a)(2) revised..............................................57233 Chapter XV 1507 Added.........................................................43998 1510 Authority citation revised....................................57482 1510.10 (b) through (e) revised....................................57483 1510.12 (a) revised................................................57483 Chapter XVI 1608 Appendix A corrected...........................................1229 1609.2 (h)(1) Regulation at 55 FR 35568 suspended 3-23-91 to 9-30- 91; new (h)(1) added; effective to 9-30-91.................25353 1609.7 (a)(3) Regulation at 55 FR 35568 suspended 3-23-91 to 9-30- 91; new (a)(3) added; effective to 9-30-91.................25353 1613 Added..........................................................5649 1617 Added; interim................................................40488 1618 Added; interim................................................30837 1680 Added; interim................................................34015 Revised........................................................52160 1992 12 CFR 57 FR Page Chapter I 3 Authority citation revised................................40307, 44084 Appendix A amended...............................40307, 44084, 44085 4 Authority citation revised.......................................32416 4.13 Revised.......................................................32416 4.15 (a) introductory text, (1) and (b) revised....................32416 4.16 (a) and (b)(7) revised........................................32417 4.17 Revised.......................................................32417 (a), (h)(2) introductory text, (ii) heading, and (viii)(B) corrected..........................................................48450 [[Page 618]] 4.18 (d) added.....................................................32419 5 Authority citation revised.......................................58973 5.33 (b)(6)(ii) revised............................................46083 (b)(2)(iii), (iv), (5)(i), (iii), (6)(ii) and (7) amended; (a), (b)(1), (c) and (f) revised; (b)(8) and (h) added; interim....49642 5.49 Removed.......................................................58973 5.50 (h)(1)(i), (ii), (2) and (3) correctly added; CFR correction 1641 6 Added............................................................44891 8.2 (a) revised....................................................22416 11 Revised.........................................................46084 Regulation at 57 FR 46084 corrected............................54499 16.2 (g) revised...................................................46084 16.4 (b) and (f) revised...........................................46084 16.6 (b) revised...................................................46084 19 Authority citation revised......................................44895 19.220--19.222 (Subpart M) Added...................................44895 19.230--19.231 (Subpart N) Added...................................44896 34 Authority citation revised...............................12202, 62899 Temporary exceptions...........................................54173 34.42 (g) through (k) redesignated as (h) through (l); (g) added 12202 34.43 Heading, (a) introductory text, (1), (2), (4)(iv) and (5) revised; (a)(6) and (d) added..............................12202 34.44 (b) and (c) redesignated as (c) and (d); (b) added...........12202 34.61--34.62 (Subpart D) Added; eff. 3-19-93.......................62899 Chapter II 201.51 Revised................................................176, 34065 201.52 Revised................................................176, 34065 202 Supplement I amended...........................................12203 Appendix A amended.............................................20399 203.3 (a) and (c)(1) revised; eff. 1-1-93..........................56965 203 Appendix A amended.............................................20400 Amended; eff. 1-1-93....................................56965, 56967 204 Authority citation revised.....................................56443 204.2 (a)(1)(iii), (b)(1)(ii), (e)(6) and (i)(1)(iii)(B) revised; (b)(3)(iii) amended; (b)(3)(iv) removed; (b)(3)(v) redesignated as (b)(3)(iv); (u) added......................38427 (a)(1)(vii)(C) amended.........................................40598 204.3 (c)(3) and (h) revised.......................................38417 (a) introductory text amended; (g) revised.....................38427 204.9 (a)(1) revised................................................8060 (a) revised....................................................56443 204.129 Removed....................................................40598 204.133 Added......................................................38427 204.134 Added......................................................38428 204.135 Added......................................................38429 204.136 Added......................................................38429 205 Appendix B added...............................................20400 206 Added..........................................................60106 207 OTC margin stock list......................2997, 15220, 33101, 48939 208 Authority citation revised.........43890, 44885, 60719, 62179, 62899 Temporary exceptions...........................................54173 208.1--208.19 Designated as subpart A; undesignated center heading removed....................................................44885 208.18 Regulation at 55 FR 27771 compliance date revised...............6 208.30-208.35 (Subpart B) Added....................................44885 208.51--208.52 (Subpart C) Added; eff. 3-19-93.....................62899 208.110 Removed....................................................21593 208.116--208.128 Designated as subpart E; undesignated center heading removed............................................44888 208 Appendix A amended................................2012, 60719, 62182 Appendix A amended; interim.............................43890, 62179 Appendix C added; eff. 3-19-93.................................62900 210.2 (d) revised; (g) concluding text amended; (n) and (o) added; eff. 10-14-93..............................................46955 210.9 Heading and (a) revised; eff. 10-14-93.......................46955 210.28 (b)(5) added; eff. 10-14-93.................................46956 211.2 (t) revised; interim.........................................12997 211.21 (b)(1) and (2) amended; (b)(3) through (b)(8) added; interim....................................................12997 211.22 Redesignated as 211.23; new 211.22 added; interim...........12998 211.23 Redesignated as 211.24; new 211.23 redesignated from 211.22; (a) removed; (b) through (e) redesignated as (a) through (d); interim.......................................12998 211.24 Redesignated from 211.23; (a) removed; (b) through (i) redesignated as (a) through (h); interim...................12998 211.25 Added; interim..............................................12999 211.26 Added; interim..............................................13000 211.27 Added; interim..............................................13001 211.28 Added; interim..............................................13001 211.29 Added; interim..............................................13001 [[Page 619]] 211.30 Heading added; interim......................................13001 213 Appendix D amended.............................................20400 215 Authority citation revised.......................21205, 22423, 60979 215.1 (a) revised..................................................21205 Regulation at 57 FR 21205 republished..........................22424 215.2 (e) through (l) redesignated as (g) through (n); new (e) and (f) added; (a), (c), (d), new (h), (i), (l) and (m) revised....................................................21205 Regulation at 57 FR 21205 republished..........................22424 (l) revised....................................................60979 215.3 (a)(4), (8), (b)(2) and (5) revised..........................21206 Regulation at 57 FR 21206 republished..........................22425 215.4 (c) footnote 3 removed; (d) footnote 4 redesignated as footnote 3.................................................21205 (a)(1), (b)(1) and (c) revised; (b)(2), (3) and (d) redesignated as (b)(3), (4) and (e); new (b)(2) and new (d) added 21206 Regulations at 57 FR 21205 and 21206 republished........22424, 22425 215.5 (a) footnote 5 redesignated as footnote 4....................21205 (a) footnote 4 and (d) revised.................................21206 Regulations at 57 FR 21205 and 21206 republished........22424, 22425 215.6 Redesignated as 215.7; new 215.6 added.......................21207 Regulation at 57 FR 21207 republished..........................22426 215.7 Redesignated as 215.8; new 215.7 redesignated from 215.6.....21207 Regulation at 57 FR 21207 republished..........................22426 215.8 Footnote 6 redesignated as footnote 5........................21205 Redesignated as 215.9; new 215.8 redesignated from 215.7.......21207 Regulations at 57 FR 21205 and 21207 republished........22424, 22426 215.9 Footnote 7 redesignated as footnote 6........................21205 Redesignated as 215.10; new 215.9 redesignated from 215.8......21207 Regulations at 57 FR 21205 and 21207 republished........22424, 22426 215.10 (a) footnote 8 and (b) footnote 9 redesignated as (a) footnote 7 and (b) footnote 8..............................21205 Redesignated as 215.11; new 215.10 redesignated from 215.9.....21207 Regulations at 57 FR 21205 and 21207 republished........22424, 22426 215.11 Redesignated as 215.13 and revised; new 215.11 redesignated from 215.10................................................21207 Regulation at 57 FR 21207 republished..........................22426 215.12 Added.......................................................21207 Regulation at 57 FR 21207 republished..........................22426 215.13 Redesignated from 215.11 and revised........................21207 Regulation at 57 FR 21207 republished..........................22426 217 Heading and authority citation revised.........................43336 217.1 (a) and (b) revised; eff. 3-21-93............................43336 217.4 Removed; eff. 3-21-93........................................43336 217.6 Removed; eff. 3-21-93........................................43336 217.101 Redesignated from 217.302; eff. 3-21-93....................43336 217.201 Removed; eff. 3-21-93......................................43336 217.301 Removed; eff. 3-21-93......................................43336 217.302 Redesignated as 217.101; eff. 3-21-93......................43336 217.601 Removed; eff. 3-21-93......................................43336 217.602 Removed; eff. 3-21-93......................................43336 217.603 Removed; eff. 3-21-93......................................43336 220 OTC margin stock list......................2997, 15220, 33101, 48939 221 OTC margin stock list......................2997, 15220, 33101, 48939 224 OTC margin stock list......................2997, 15220, 33101, 48939 225 Authority citation revised.........21207, 22426, 43890, 60720, 62180 Temporary exceptions...........................................54173 225.2 (g) through (o) redesignated as (h) through (p); new (g) added......................................................41387 225.4 (f) added....................................................21207 Regulation at 57 FR 21207 republished..........................22426 225.11 (f) added; interim..........................................13001 225.12 (f) added; interim..........................................13001 (d) introductory text, (1) and (2) redesignated as (d)(1) introductory text, (i) and (ii); (d)(2) added......................28778 225.13 (a) introductory text and (b)(2) revised; (b)(4) and (5) added; interim.............................................13003 225.14 (b)(3) added................................................41642 [[Page 620]] 225.23 (f)(2) introductory text republished; (f)(2)(i) revised.....28779 225.25 Footnotes 7 through 14 redesignated as footnotes 8 through 15; (b)(5) introductory text, (i), (ii), (iii), (iv) introductory text, (A) through (D), (v) and (vi) redesignated as (b)(5)(i) introductory text, (A), (B), (C), (D) introductory text, (1) through (4), (E) and (F); new (b) (5) heading and (ii) added; (b)(5)(i) introductory text, (D) introductory text, (3) and (F) revised...........20961 Footnotes 3 through 15 redesignated as footnotes 4 through 16; (b)(4)(iv) amended; (b)(4)(v) and (15) revised; (b)(4)(vi) added 41387 225.61--225.67 (Subpart G) Regulation at 55 FR 27771 compliance date revised...................................................6 225.125 (h) revised................................................30391 225.132 (c)(2) amended.............................................28779 225.144 Removed.....................................................9973 225 Appendix A amended..................2012, 43890, 60720, 62180, 62182 Appendix D amended..............................................2013 226 Temporary exceptions...........................................53545 226.5b (f)(2)(ii) and (iii) revised; (f)(2)(iv) added..............34681 226 Supplement I corrected.......................................81, 749 Appendix I amended.............................................20400 227.11 (c)(1), (2) and (3) revised; (d) added......................20401 229 Authority citation revised..............................36598, 36600 229.1 (a) revised..................................................36598 (b)(3) revised; eff. 1-3-94....................................46972 229.2 (mm) redesignated as (pp); new (mm), (nn) and (oo) added; eff. 1-3-94................................................46972 229.3 (a)(1) revised; (a) concluding text added....................36600 229.12 (a) revised; (f) amended; (f)(1)(ii) and (2) removed........36601 229.13 (g)(1)(ii) through (v) removed; (g)(2) heading, (i), (ii) and (3) redesignated as (g)(1)(ii) heading, (A), (B) and (4); (b), (c) introductory text, (d) introductory text, (e)(1), (f) introductory text, new (g)(1)(ii)(A), (B), (h)(1), (3) and (4) amended; (g)(1) introductory text, (i) and (h)(2) revised; new (g)(2) and (3) added................3279 (b), (c) introductory text, (d) introductory text, (e)(1), (f) introductory text, (h)(1), (2) and (4) amended; (g)(2)(ii) and (3)(iii) revised...................................................36598 229.30 (c) introductory text revised; eff. 1-3-94..................46972 229.34 (c) and (d) redesignated as (d) and (e); heading, new (d) and (e) revised; new (c) added; eff. 1-3-94................46972 229.36 (f) added; eff. 1-3-94......................................46972 229.39 (d) redesignated as (e); new (d) added; eff. 1-3-94.........46973 229 Appendixes C and E amended; interim.............................3280 Appendix E amended......................................36598, 36601 Appendix E amended; eff. 1-3-94..........................46973-- 46975 Appendix E corrected; eff. 1-3-94..............................52719 230 Added..........................................................43376 230.6 (a)(3) corrected.............................................46480 230 Appendixes A and B corrected...................................46480 250 Authority citation revised.....................................41644 250.166 Added......................................................40598 250.241 Added......................................................41644 262.3 (b)(1) concluding text redesignated in part as (b)(1)(i) concluding text and (b)(1)(ii); (b)(1) introductory text and (i) through (vi) redesignated as (b)(1)(i) introductory text and (A) through (F); new (b)(1)(i) concluding text, (ii) and (2) amended......................41642 262.25 (a)(1) amended..............................................41642 263 Authority citation revised..............................13001, 44888 263.50 (b)(7) and (8) amended; (b)(9) and (10) added; interim......13001 (b)(9) and (10) amended; (b)(11) through (14) added............44888 [[Page 621]] 263.201--263.205 (Subpart H) Added.................................44888 264.735-4 Removed..................................................62183 264.735-8 Removed..................................................62183 264 Appendix A removed.............................................62183 265 Authority citation revised..............................13002, 40600 265.6 Introductory text republished; (e) added......................6789 (b)(2) added; interim..........................................13002 265.7 (d)(8) added; interim........................................13002 265.11 (c)(11)(v)(A) removed; (c)(11)(v)(B) and (C) redesignated as (c)(11)(v)(A) and (B); (c)(11)(vi) revised..............11907 (e)(11) removed; (e)(12) redesignated as (e)(11)...............40600 Chapter III 303 Statement and order............................................59284 303.3 (d) redesignated as (e); new (d) added........................5815 303.7 (f)(5) redesignated as (f)(6); new (f)(5) added...............5815 304 Authority citation revised.....................................23932 304.4 Revised......................................................23932 304.5 (d) amended..................................................23933 304 Appendix A amended.............................................23933 308 Authority citation revised.....................................44897 308.200--308.204 (Subpart Q) Added.................................44897 308.200 Corrected..................................................48426 308.204 (c) corrected..............................................48426 323 Authority citation revised......................................9049 Temporary exceptions...........................................54173 323.2 (g) through (k) redesignated as (h) through (l); new (g) added.......................................................9049 323.3 (a) introductory text, (1) and (4)(iv) revised; (a)(5) amended; (a)(6), (7) and (d) added..........................9050 323.4 (b) and (c) redesignated as (c) and (d); new (b) added........9050 325 Authority citation revised...............................7647, 44899 325.1--325.6 Designated as subpart A...............................44899 325.1 Amended.......................................................7647 325.2 (e) through (o) redesignated as (h), (i), (j), (m) through (p), (r), (t), (v) and (x); new (e), (f), (g), (k), (l), (q), (s), (u) and (w) added................................44899 325.5 (f)(5) and (8) removed; (f)(6) and (7) redesignated as (f)(5) and (6); (f)(4), new (f)(5) and (6) amended..........7647 325.1--325.6 (Subpart A) Appendixes A and B redesignated from part 325 Appendixes A and B; headings revised...................44899 325.101--325.105 (Subpart B) Added.................................44900 325.104 (a)(2) corrected...........................................48426 325 Appendixes A and B redesignated as subpart A Appendixes A and B..........................................................44899 327.3 (d) through (h) added........................................45284 327.7 (a)(1)(ii)(A), (2), (b)(1) and (2) revised...................45286 327.13 (c) revised; (d) added......................................45286 327.23 (d) revised.................................................45286 327.31--327.33 (Subpart D) Revised.................................45286 328.1 (b) amended..................................................45977 328.2 (c) amended..................................................45977 328.4 (c) amended..................................................45977 333.3 (a) amended..................................................53213 335.102 (r)(2) and (nn)(2)(ii)(C) amended..........................58136 335.203 (c) amended................................................58136 335.212 Amended.....................................................4702 Corrected......................................................58136 335.309a Amended...................................................58136 335.312 Amended.....................................................4702 (d) redesignated as (c)........................................58136 335.331 Amended....................................................58136 335.401 (b)(1) introductory text and (2) amended...................58136 335.410 Revised.....................................................4702 335.411 Revised.....................................................4702 335.412 Removed.....................................................4702 335.413 Removed....................................................58136 335.414 Removed....................................................58136 335.420 Added.......................................................4703 335.421 Added.......................................................4703 335.422 Added.......................................................4703 335.627 Amended....................................................58136 335.628 (a)(1), (2), (b)(6) and (c)(1) amended.....................58137 337 Authority citation revised.................7649, 17850, 23941, 28457 337.3 (a) amended...................................................7649 (c) added......................................................17850 Corrected; OMB number..........................................28457 337.6 Revised......................................................23941 360 Transferred to subchapter B; subchapter C heading removed......10415 361 Added..........................................................15004 362 Added..........................................................53234 365 Added; eff. 3-19-93............................................62900 365 Appendix A added; eff. 3-19-93..........................62896, 62900 [[Page 622]] 386 Heading removed................................................10415 Chapter V 500.10--500.17 (Subpart B) Revised.................................14335 500.32 Removed.....................................................14336 506 Authority citation revised..............................45980, 48947 506.1 (b) table amended (OMB numbers)................45980, 48947, 49380 (b) table revised (OMB numbers)................................48947 (b) table amended (OMB numbers); eff. 1-25-93..................61250 516 Added..........................................................14336 543.1 (b) amended..................................................14338 543.2 (a) and (g)(1) introductory text revised; (b), (g) introductory text and (h)(3) removed; (d), (e) and (f) amended....................................................14338 543.8 (b) revised..................................................14339 543.9 (a) revised; (c) amended.....................................14339 544.2 (a) and (b) introductory text revised; (c) amended; (d) and (e) removed................................................14339 544.3 Introductory text revised....................................14339 544.5 (a), (c) and (d) revised.....................................14339 545 Authority citation revised.....................................33437 545.14 (c) revised.................................................33437 545.32 (b)(2) removed; (b)(1) redesignated as (b)(2); (b)(3) amended; new (b)(1) added; (d) revised; eff. 3-19-93.......62900 545.33 (a) and (b) removed; (c) through (h) redesignated as (a) through (f); newly designated (b)(1) amended; eff. 3-19-93 62900 (b)(2) introductory text, new (e) and (f) amended; eff. 3-19- 93 545.35 (d) revised.................................................33437 (a) through (c) removed; (d) redesignated as (b); new (a) added; eff. 3-19-93................................................62901 545.36 (a) and (b) revised; eff. 3-19-93...........................62901 545.37 (c) and (d) removed; (b) revised; eff. 3-19-93..............62901 545.38 (b)(3) revised..............................................33437 545.40 Introductory text and concluding text amended; eff. 3-19-93 62901 545.42 Revised; eff. 3-19-93.......................................62901 545.45 (d)(2)(ii) and (3)(i) amended; eff. 3-19-93.................62901 545.74 (b)(7), (c) introductory text, (3)(vi), (4)(iii) and (e) revised; (c)(4)(i)(D) amended; (f) and (g) removed.........14340 (d)(2) revised.................................................33437 (a) introductory text, (1), (b)(1), (2), (3), (5), (c) introductory text and (d)(2) introductory text revised; (a)(5) added; (b)(6) and (7) removed......................................48949 (c) introductory text and (b)(2) amended.......................62474 545.77 Revised.....................................................14340 545.81 Added.......................................................48947 (c)(1)(ii) and (2)(i) amended..................................62474 545.82 (f) heading, (1) introductory text and (3) revised..........14340 (c)(2) removed; (e) introductory text revised..................33437 545.92 (a), (b), (c), (e), (f) and (h)(1) revised; (h)(3) removed; (j) added..................................................14341 (i) removed; interim...........................................37084 545.93 (b) and (c) amended.........................................14341 545.94 Removed.....................................................14341 545.95 Revised.....................................................14341 545.96 (b) revised; (d) removed....................................14342 545.111 Removed....................................................40090 545.113 Removed....................................................40090 545.114 Removed....................................................40090 545.115 Removed....................................................40090 546.2 (d)(2) and (e) amended.......................................14342 546.4 (c) and concluding text revised..............................14342 550.2 (a) amended..................................................14342 552.2-1 (b) introductory text, (1) introductory text and (i) revised....................................................14342 552.2-2 (b) and (c) amended; (d) removed...........................14342 552.4 (a) and (b) introductory text revised; (c) and (d) amended; (e) and (f) removed........................................14343 552.5 Revised......................................................14343 552.6-3 (a) amended................................................14343 552.10 Revised.....................................................14343 552.13 (i) revised; (m) removed....................................14343 556.5 Revised......................................................12207 558.3 Amended......................................................14335 558.4 Amended......................................................14335 559.3 Amended......................................................14335 561 Authority citation revised.....................................33437 561.55 (b)(2) revised; (c) added...................................33437 562 Added..........................................................40090 563 Authority citation revised.......................33437, 45980, 46088 [[Page 623]] 563.1 Revised......................................................14344 563.4 Removed......................................................14344 563.10 (b)(1) amended; (c) heading and (1) introductory text revised....................................................14344 (b)(2), (c)(1)(i) and (3)(v) revised; (d) removed; (e) redesignated as (d)................................................33438 563.22 (c)(2) revised; (e) heading and (1) amended; (d)(1), (e)(2), (3) and (f) removed................................14344 563.37 (c) revised.................................................14344 563.38 (b) amended.................................................14344 563.41 (e)(2)(ii)(D) revised.......................................14344 563.43 (d) amended; (e) and (f) revised............................14344 Revised........................................................45980 563.45 Amended.....................................................14345 563.46 Removed.....................................................40091 563.74 (e) revised.................................................14345 563.75 Removed.....................................................14345 563.76 Added.......................................................46088 563.80 (e)(2) revised..............................................14345 (e)(1) introductory text amended...............................33438 563.81 Heading, (a), (b), (c), (d) introductory text, (1)(iv), (2), (h) and (k) revised; (d)(1) introductory text, (iii), (v), (vi) introductory text, (f) and (g) amended; (e), (i) and (j) removed............................................14345 563.84 (b)(7) introductory text revised............................33438 563.93 (b)(6)(iii) amended; (d)(3)(iii) revised; (g) removed.......14347 563.94 Removed.....................................................33438 563.96 Amended.....................................................33438 563.97 (a) amended; eff. 3-19-93...................................62901 563.100 Added; eff. 3-19-93........................................62901 563.101 Added; eff. 3-19-93........................................62901 563.90--563.101 (Subpart D) Appendix A added; eff. 3-19-93........62896, 62901 563.131 (a)(1), (b), (d) and (e) amended; (c) introductory text revised....................................................14347 (b) revised....................................................33438 563.132 (a)(1)(ii), (c)(2) and (4) amended; (c)(5) removed; (c) heading, (1) introductory text and (3) revised.............14347 563.133 Removed....................................................14347 563.134 (c) and (e)(3) amended.....................................14347 (a)(3), (6) and (b)(1) revised.................................33438 563.160 (f)(3) amended.............................................14335 563.170 (c)(4) amended.............................................14335 (d) revised....................................................40092 563.172 (b) through (d) removed....................................40091 (a) designation and heading removed; revised...................40092 563.173 (c)(2) revised.............................................33438 (f) removed....................................................40091 563.174 (a), (b), (d), (e) and (f) revised.........................40092 563.175 (a)(13)(iii) revised.......................................33438 (a), (e) and (f) revised; (g) removed..........................40093 563.180 (e) added; eff. 1-25-93....................................61251 563.190 Revised....................................................12698 563.231--563.234 (Subpart H) Removed...............................40091 563.233 (c) and (d) revised........................................33438 Removed........................................................40091 563.234 Removed....................................................40091 563b Authority citation revised....................................49380 563b.3 (i)(3)(i) amended...........................................14347 563b.8 (w) removed.................................................14348 563b.21 Revised....................................................49380 563b.23 Revised....................................................49381 563b.24 Revised....................................................49381 563b.26 (b) revised................................................49381 563b.27 (e) amended................................................14335 (l) removed; (m) through (s) redesignated as (l) through (r); introductory text, (a), (d), (e), new (l), (n) and (o) revised; new (s) added......................................................49381 563b.28 (c)(2) amended.............................................14335 (a) revised; (c) removed.......................................14348 Redesignated as 563b.29; new 563b.28 added.....................49382 563b.29 (a) amended................................................14348 Redesignated as 563b.30; new 563b.29 redesignated from 563b.28 49382 563b.30 Redesignated as 563b.31; new 563b.30 redesignated from 563b.29....................................................49382 563b.31 Redesignated as 563b.32; new 563b.31 redesignated from 563b.30....................................................49382 563b.32 Redesignated as 563b.33; new 563b.32 redesignated from 563b.31....................................................49382 563b.33 Redesignated from 563b.32..................................49382 563b.34--563b.41 (Subpart D) Removed...............................49382 563b.39 (d) and (m) revised........................................14348 563b.41 (a) revised; (c) removed...................................14348 [[Page 624]] 563c Authority citation revised....................................33439 563c.10--563c.13 (Subpart B) Removed...............................40094 563c.12 Removed....................................................40094 563c.13 Removed....................................................40094 563c.14 Removed....................................................33439 563c.102 Amended...................................................26990 563f.7 Revised.....................................................14348 563g Authority citation revised....................................46088 563g.17 Revised....................................................46088 564 Authority citation revised.....................................12705 Temporary exceptions...........................................54173 564.2 (g) through (k) redesignated as (h) through (l); new (g) added......................................................12705 564.3 Heading, (a) introductory text, (1) and (2) revised; (d) added......................................................12705 565 Added..........................................................44903 566.3 Removed......................................................14348 566.4 Revised......................................................14348 566.5 Removed......................................................14348 567 Authority citation revised.....................................33439 567.1 (jj) added...................................................12709 (a)(2)(i) removed; (a)(2)(ii), (iii) and (iv) redesignated as (a)(2)(i), (ii) and (iii); (a)(3)(iii), (k), (o), (q), (u), (v), (w)(2)(ii)(C) and (gg) revised; (p) and (ee) amended; (kk) and (ll) added.........................................................33439 567.2 (b) heading and (2) revised..................................33440 567.3 (a)(1), (2), (d)(1), (3) and (5) amended.....................14335 (d)(2)(i) introductory text amended............................14348 567.4 (a)(1) introductory text, (2) introductory text, (3)(i) introductory text and (4) amended..........................14335 (a)(1) introductory text and concluding text amended...........33440 567.5 (a)(1) introductory text, (ii), (iv) and (b)(4) amended; (a)(2)(v)(A) introductory text and (b)(3)(i) revised.......33440 567.6 (a)(1)(iii)(D) added.........................................12709 (a) introductory text, (1)(ii)(N), (O) and (2)(i)(C) revised; (a)(1)(vi)(C) redesignated as (a)(1)(vi)(C)(1); (a)(1) heading, (ii)(R), (v)(A), (vi) heading, (A), (2) introductory text, (iv) heading, (A), (B) and (C) revised; (a)(1)(ii)(S) and new (vi)(C)(2) amended.................................................33440 567.9 (c)(1) and (3)(i) introductory text revised..................33441 567.10 (a) heading, (2) introductory text and (f) revised; (a)(1) removed....................................................33441 567.11 (a) revised; (c) amended....................................33441 571 Authority citation revised.....................................33442 571.1 (a)(1) amended...............................................14335 571.2 (b), (d)(1) and (e)(4)(ii) amended...........................14335 571.11 Removed; interim............................................37084 571.12 Removed.....................................................14348 571.14 Removed.....................................................12698 571.16 (c)(10) amended.............................................14335 571.18 Removed.....................................................40094 571.19 Removed.....................................................26990 571.23 Removed.....................................................33442 574.3 (c)(1)(ii) revised...........................................14348 574.4 (f)(1) introductory text revised.............................14349 574.5 (a)(1) revised...............................................14349 574.6 (b) and (d)(2) revised; (j) added............................14349 574.7 (f) removed..................................................14349 574.9 Removed......................................................14349 579.5 Amended......................................................14335 584 Authority citation revised.....................................35458 584.1 (a) and (e) revised..........................................35458 584.2-1 (c)(1) revised.............................................14349 584.2-2 (b) amended................................................14349 584.5 Removed......................................................35458 584.9 (d) revised..................................................14349 584.10 Removed.....................................................35458 Chapter VI 603 Authority citation revised.....................................32421 603.355 Heading revised; existing text designated as (a) and amended; (b) added.........................................32421 Regulation at 57 FR 32421 eff. 9-16-92.........................42888 611 Authority citation revised..............................26992, 43394 [[Page 625]] 611.400 (b) introductory text, (2), (3), (5) and (c) introductory text amended; (a) revised; (c)(6) added (effective date pending)...................................................43394 611.1137 Added (effective date pending)............................26992 Regulation at 57 FR 26992 eff. 7-27-92.........................33104 611.1155 Amended (effective date pending)..........................46487 611.1156 Redesignated as 627.2710 (effective date pending).........46487 611.1157 (a) and (b) amended (effective date pending)..............46487 611.1160 (b) and (g) amended (effective date pending)..............46487 611.1168 (c), (d) and (e) removed; (f) redesignated as (d); new (c) added (effective date pending).........................46487 611.1170 (b), (g) and (h) amended (effective date pending).........46487 611.1175 (c), (d) and (e) removed; (f) redesignated as (d); new (c) added (effective date pending).........................46487 611.1180 (a) and (f) amended (effective date pending)..............46487 612 Authority citation revised.....................................43395 612.2000--612.2110 (Subpart A) Removed (effective date pending)....43395 612.2130--612.2270 (Subpart B) Heading removed.....................43395 612.2150 (b)(5) amended (effective date pending)...................43395 613 Authority citation revised.....................................13637 613.3045 Regulation at 56 FR 65989 eff. 2-26-92.....................6553 613.3140 Removed (effective date pending)..........................13637 Removal at 57 FR 13637 eff. 5-27-92............................22157 613.3145 Added (effective date pending)............................13637 Regulation at 57 FR 13637 eff. 5-27-92.........................22157 613.3150 Revised...................................................13638 Regulation at 57 FR 13638 eff. 5-27-92.........................22157 613.3151 Added (effective date pending)............................13638 Regulation at 57 FR 13638 eff. 5-27-92.........................22157 613.3152 Added (effective date pending)............................13638 Regulation at 57 FR 13638 eff. 5-27-92.........................22157 613.3160 (a) revised; (b) introductory text amended (effective date pending)..............................................13638 Regulation at 57 FR 13638 eff. 5-27-92.........................22157 613.3170 Revised (effective date pending)..........................13638 Regulation at 57 FR 13638 eff. 5-27-92.........................22157 613.3175 Added (effective date pending)............................13639 Regulation at 57 FR 13639 eff. 5-27-92.........................22157 614 Authority citation revised.....................................38246 Authority citation corrected...................................43290 614.4000 (e) and (f) added (effective date pending)................38246 (e)(1) introductory text corrected.............................43290 Regulation at 57 FR 38246 eff. 10-7-92.........................46755 614.4010 (f) and (g) added (effective date pending)................38246 (g)(3) corrected...............................................43290 Regulation at 57 FR 38246 eff. 10-7-92.........................46755 614.4030 (c) added (effective date pending)........................38247 Regulation at 57 FR 38247 eff. 10-7-92.........................46755 614.4040 (d) added (effective date pending)........................38247 Regulation at 57 FR 38247 eff. 10-7-92.........................46755 614.4050 (d) added (effective date pending)........................38247 Regulation at 57 FR 38247 eff. 10-7-92.........................46755 614.4060 Added (effective date pending)............................38247 Regulation at 57 FR 38247 eff. 10-7-92.........................46755 614.4240--614.4267 (Subpart F) Revised (effective date pending)....54695 614.4245 (a) corrected.............................................58860 614.4265 (b) corrected.............................................58860 614.4325--614.4337 (Subpart H) Revised (effective date pending)....38248 Regulation at 57 FR 38248 eff. 10-7-92.........................46755 [[Page 626]] 614.4336 (a)(2)(ii) corrected (effective date pending).............44489 614.4440 (f), (g) and (h) redesignated as (g), (h) and (i); (f) added (effective date pending).............................54699 (f) corrected..................................................58860 614.4443 (c) revised (effective date pending)......................54699 614.4510 (c) amended (effective date pending)......................38250 Regulation at 57 FR 38250 eff. 10-7-92.........................46755 614.4710 (a)(4) and (b)(2) amended (effective date pending)........38250 Regulation at 57 FR 38250 eff. 10-7-92.........................46755 615 Authority citation revised.....................................46487 615.5210 (d)(2)(i) suspended in part and (d)(2)(ii) and (iii) suspended (effective date pending).........................38251 Regulation at 57 FR 38251 eff. 10-7-92.........................46755 615.5216 (b) amended (effective date pending)......................46487 618.8030 Regulation at 56 FR 65990 eff. 2-26-92.....................6553 619 Authority citation revised.....................................38250 619.9195 Revised (effective date pending)..........................38250 Regulation at 57 FR 38250 eff. 10-7-92.........................46755 619.9320 Removed (effective date pending)..........................38250 Regulation at 57 FR 38250 eff. 10-7-92.........................46755 625 Added (effective date pending).................................60109 627 Added (effective date pending).................................46482 627.2710 Redesignated from 611.1156; (a) revised (effective date pending)...................................................46487 Chapter VII 700.1 (i) introductory text republished; (i)(7) and (15) revised; (i)(16) and (17) redesignated as (i)(17) and (18); new (i)(16) added..............................................47985 701 Authority citation revised.....................................42488 701.21 (h)(2)(ii)(A), (iii)(B) and (3) introductory text revised 42488 701.33 (b)(2)(i) revised...........................................54502 702.3 (c)(2) revised; eff. 1-21-93.................................60722 703 Interpretive ruling and policy statement.......................22157 703.5 (e) stayed....................................................6553 (e) eff. 12-1-92...............................................53238 704 Revised........................................................22630 704.1 Existing text designated as (a); new (b) added...............28085 704.2 Corrected....................................................28085 704.6 (b)(2)(vi)(A) correctly revised; (d) corrected...............28085 704.7 (b)(3) corrected.............................................28085 704.10 (b)(2) corrected............................................28086 704.11 (i) corrected...............................................28086 704.12 (c)(2) correctly revised; (c)(5) corrected..................28086 704 Appendix A corrected...........................................28086 705 Authority citation revised.....................................20742 705.7 (b)(2) revised...............................................20742 722 Authority citation revised.....................................28998 Temporary exceptions...........................................54173 722.2 (g) through (k) redesignated as (h) through (l); new (g) added......................................................28998 722.3 (a)(4)(iv) and (5) revised; (a)(6) added.....................28998 741.9 (a)(3) and (b)(3) revised....................................22636 (a)(3) and (b)(3) corrected....................................28086 747.0 (a) and (b) corrected..........................................523 747.1 (a), (b), (c) introductory text and (c)(1) corrected...........523 747.3 (f)(1) and (g) corrected.......................................523 747.9 (d) corrected..................................................522 747.16 Corrected.....................................................523 747.33 (a) corrected.................................................523 747.201 Corrected....................................................523 747.207 Corrected....................................................523 747.208 (a) corrected................................................523 747.301 Introductory text corrected..................................523 747.304 Corrected....................................................523 747.305 Corrected....................................................523 747.306 (a) corrected................................................523 747.401--747.406 (Subpart E) Heading corrected..................522, 523 747.401 Corrected....................................................523 747.405 (c) corrected................................................523 747.606 (c) corrected................................................523 747.703 (a) corrected................................................523 747.803 (b)(1)(iv) corrected.........................................523 747.901--747.905 (Subpart J) Heading corrected.......................523 747.901 Corrected....................................................523 747.902 Corrected....................................................523 747.903 (a)(3) corrected.............................................523 747.904 (b)(1), (2) and (d)(2) corrected........................523, 524 [[Page 627]] 747.905 (a) corrected................................................524 Chapter IX 900.30 Revised......................................................6468 900.53 Correctly designated..........................................749 910 Authority citation revised.....................................62186 910.0 Added; eff. 1-29-93..........................................62186 910.1 Revised; eff. 1-29-93........................................62186 910.6 Revised; eff. 1-29-93........................................62186 932 Authority citation revised......................................6190 932.3 Revised.......................................................6190 932.18 Technical correction...........................................81 932.21 Technical correction...........................................81 932.23 Technical correction...........................................81 932.55 Removed; interim.............................................2834 Removal at 57 FR 2834 confirmed................................11429 932.56 Removed; interim.............................................2834 Removal at 57 FR 2834 confirmed................................11429 932.57 Removed; interim.............................................2834 Removal at 57 FR 2834 confirmed................................11429 935.6 Revised......................................................42889 940.1 (b) revised..................................................42889 941 Added; interim..................................................2834 Regulation at 57 FR 2384 confirmed.............................11429 941.6 (c)(3) amended; (c)(2) revised...............................11429 941.7 (f)(1)(ii) and (2) amended; (d)(1), (4)(i) and (ii) revised 11429 941.8 (a) amended; (d) added.......................................11429 941.10 (b) revised.................................................11429 Chapter XI 1102 Added.........................................................10982 1102.20--1102.39 (Subpart B) Added.................................31650 1102.20 (b) corrected..............................................35004 1102.29 (f)(1)(ii) and (g) corrected...............................35004 1102.100--1102.110 (Subpart C) Added...............................36357 1102.300--1102.304 (Subpart D) Added...............................60724 Chapter XIII Chapter XIII Removed...............................................60113 1300 Removed.......................................................60113 Chapter XV Chapter XV Heading revised..........................................4715 1502 Added.........................................................53240 1503 Added.........................................................61252 Chapter XVI 1606 Policy statement..............................................54503 1608 Authority citation revised....................................49388 1608.2 (g) through (k) redesignated as (h) through (l); new (g) added......................................................49388 1608.3 (a) introductory text, (1), (4)(iv) and (5) revised; (a)(6), (7) and (d) added..................................49388 1608.4 (b) and (c) redesignated as (c) and (d); new (b) added......49388 1609 Revised; interim..............................................19501 Policy statement...............................................24937 1615 Added; interim................................................32882 Revised........................................................48950 1616 Added; interim................................................43608 1617 Revised; interim..............................................35733 1620 Added.........................................................32395 1680.1--1680.17 Designated as subpart A; interim...................37402 Redesignated as subpart A; heading added.......................56969 1680.21--1680.34 (Subpart B) Added; interim........................37402 Added; final...................................................56969 1993 12 CFR 58 FR Page Chapter I 1 Authority citation revised.......................................27443 1.8 (b) removed; (c) redesignated as (b)...........................27443 3 Appendix A amended...............................................16486 5.33 Regulation at 57 FR 49642 comment period extended..............6441 5.51 Revised.......................................................27451 7 Authority citation revised.......................................68470 7.3020 Removed.....................................................46535 7.3025 Removed.....................................................46535 7.7480 Removed.....................................................68470 7.7490 Revised......................................................4073 24 Added...........................................................68470 31 Authority citation revised......................................27454 31.1 Revised.......................................................27454 34 Temporary exceptions............................................42640 34.61--46.62 (Subpart D) Appendix A corrected.......................4460 34.81--34.87 (Subpart E) Added.....................................46535 Chapter II 201 Heading revised................................................50512 Authority citation revised.....................................68512 201.1 Revised; eff. 1-30-94........................................68512 201.2 Revised; eff. 1-30-94........................................68512 201.3 Revised; eff. 1-30-94........................................68513 201.4 Revised; eff. 1-30-94........................................68514 201.5 Revised; eff. 1-30-94........................................68514 201.6 Revised; eff. 1-30-94........................................68514 [[Page 628]] 201.7 Added; eff. 1-30-94..........................................68514 201.8 Added; eff. 1-30-94..........................................68514 201.9 Added; eff. 1-30-94..........................................68514 201.108 Footnote 1 redesignated as Footnote 3; eff. 1-30-94........68515 201.109 Footnotes 1a, 2 and 3 redesignated as Footnotes 4, 5 and 6; eff. 1-30-94............................................68515 202 Heading revised................................................50512 Technical correction...........................................68735 202.1 (b) amended..................................................65661 202.5a Added.......................................................65661 202.14 (b)(3) revised; (b)(4) and (5) added........................65662 202 Appendix C amended.............................................65662 203 Exemption termination..............................................1 MSA designations.........................................6601, 50513 Heading revised................................................50512 203.5 Revised......................................................13405 203 Appendix A amended.............................................13405 204 Heading revised................................................50512 Authority citation revised.....................................61802 204.9 (a) revised..................................................61802 (a)(1) table corrected.........................................64112 205 Heading revised................................................50512 206 Heading revised................................................50512 207 OTC margin stock list......................6602, 25543, 39640, 54929 Heading revised................................................50512 208 Authority citation revised...............................7979, 47208 Heading revised................................................50512 208.20 Added.......................................................47208 208 Regulation at 57 FR 62179 confirmed............................28492 Appendix C corrected............................................4460 Appendix A amended.......................................7979, 68738 Appendixes A and B amended......................................7980 209 Heading revised................................................50512 210 Heading revised................................................50512 211 Authority citation revised.....................................47209 Heading revised................................................50512 211.2 (t) revised...................................................6358 211.8 Added........................................................47209 211.20 Redesignated from 211.21; (b)(3) through (8) revised; (b)(9) and (c) added........................................6358 211.21 Redesignated as 211.20; new 211.21 redesignated from 211.22 and revised.................................................6358 211.22 Redesignated as 211.21.......................................6358 Redesignated from 211.23........................................6359 211.23 Redesignated as 211.22; new 211.23 redesignated from 211.24; (a) through (h) redesignated as (b) through (i); new (a) added...............................................6359 211.24 Redesignated as 211.23; new 211.24 redesignated from 211.25 and revised.................................................6359 (f) added......................................................47209 211.25 Redesignated as 211.24; new 211.25 redesignated from 211.26 and revised.................................................6359 211.26 Redesignated as 211.25; new 211.26 redesignated from 211.27 and revised.................................................6359 211.27 Redesignated as 211.26; new 211.27 redesignated from 211.28 and revised.................................................6359 211.28 Redesignated as 211.27; new 211.28 redesignated from 211.29 and revised.................................................6359 211.29 Redesignated as 211.28.......................................6359 Added...........................................................6362 211.31 (b)(4) amended..............................................46076 211.41 (b) amended.................................................46076 211.42 (a) amended.................................................46076 212 Heading revised................................................50512 213 Heading revised................................................50512 214 Heading revised................................................50512 215 Authority citation revised..............................26508, 61804 Heading revised................................................50512 215.4 (d)(3) added.................................................26508 (d)(2) introductory text amended; interim...............28494, 61804 216 Heading revised................................................50512 217 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.........15076 Heading revised................................................50512 217.1 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.......15076 217.4 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.......15076 217.6 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.......15076 217.101 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076 217.201 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076 217.301 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076 217.302 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076 217.601 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076 217.602 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076 217.603 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076 218 Heading revised................................................50512 219 Heading revised................................................50512 [[Page 629]] 220 OTC margin stock list......................6602, 25543, 39640, 54929 Heading revised................................................50512 221 OTC margin stock list......................6602, 25543, 39640, 54929 Heading revised................................................50512 224 OTC margin stock list......................6602, 25543, 39640, 54929 Heading revised................................................50512 225 Authority citation revised.........................4074, 7980, 47209 Temporary exceptions...........................................42640 Heading revised................................................50512 225.2 (k) revised....................................................473 (k) and (l) revised.............................................4074 225.4 (g) added....................................................47209 225.11 (f) revised..................................................6362 225.12 (f) revised..................................................6362 225.13 (a) and (b)(2) revised........................................474 225.31 (d)(2)(ii) revised............................................474 225.63 (a) amended.................................................15077 225 Appendix B amended...............................................474 Appendix A amended.......................................7980, 68739 Appendixes A and D amended......................................7981 Regulation at 57 FR 62180 confirmed............................28492 226 Authority citation revised.....................................17084 Heading revised................................................50512 226.15 (e) revised.................................................40583 226.16 Footnotes 36a and 36b redesignated as Footnotes 36b and 36c 40583 226.23 (e) revised.................................................40583 226 Supplement I amended....................................17084, 17085 227 Heading revised................................................50512 228 Heading revised................................................50512 229 Heading revised................................................50512 229.2 (cc) amended.....................................................2 229 Appendixes A, B-2 and E amended....................................2 Appendix E amended.................................................3 230.2 (a) amended..................................................15081 230.4 (c)(1) amended...............................................15081 230.5 (a)(2)(ii) revised...........................................15081 230.8 (e) revised..................................................15081 230 Appendix A amended.............................................15082 245 Heading revised................................................50512 262 Authority citation revised.....................................47986 262.3 (b)(1)(i)(D) removed; (b)(1)(i)(E) and (F) redesignated as (b)(1)(i)(D) and (E); (b)(2) amended; (b)(3) added; (j) introductory text revised..................................47986 263 Authority citation revised......................................6363 263.51 (c) revised..................................................6363 264b Authority citation revised....................................57730 264b.3 (c) and (d) correctly revised; CFR correction...............38702 (a) amended....................................................57730 265 Authority citation revised.....................................26509 265.5 (c)(3) added.................................................26509 265.6 (b)(2) revised; (f) added.....................................6363 (c)(5) removed.................................................26509 (g) added......................................................53394 265.7 (d)(8) revised................................................6363 (c)(5) removed; (c)(6) redesignated as (c)(5)..................26509 265.9 (c)(4) amended; (c)(5) added.................................65540 265.11 (d)(11) added................................................6363 268 Revised; interim................................................9518 Chapter III 303 Authority citation revised......................................8216 Heading revised.................................................8216 303.2 (a) amended...................................................8216 303.3 (a) amended...................................................8216 303.5 Heading revised; (e) added....................................8217 303.7 (f) heading revised; (f)(1)(iii) amended; (f)(1)(ix) added 8217 303.8 (i) added.....................................................8217 303.9 (h) and (m)(5) revised........................................8218 303.10 (c)(5) and (6) revised; (c)(7) added.........................8219 303.13 (a)(6), (b)(1) introductory text, (d)(1) introductory text and (2)(i) amended; (a)(9) revised.........................64458 323 Temporary exceptions...........................................42640 325 Authority citation revised.....................................12151 325.1 Revised.......................................................8219 325.2 (t) and (v) amended...........................................6368 (h)(1) and (t) amended..........................................8219 (q), (s), (u) and (w) amended..................................60103 325.3 (c)(3) revised................................................8219 325.5 (f) revised...................................................6369 (b) amended.....................................................8219 325.1--325.6 (Subpart A) Appendixes A and B amended...........6369, 8219 Appendix A amended.............................................12151 Appendixes A and B redesignated as part 325 Appendixes A and B 60103 325 Appendixes A and B redesignated from subpart A Appendixes A and B and amended..........................................60103 327.3 (d)(1)(B)(1) corrected........................................3069 [[Page 630]] (d) through (h) redesignated as (e) through (i); (c), new (e)(1) introductory text, (1)(i) introductory text, (A), (B)(2) introductory text, (2)(ii), (e)(1)(ii) heading and introductory text, (2) and new (g) revised; new (d) added; new (h) amended......34364 (e)(1)(i)(B)(1), (C) and (i) amended...........................34365 327.4 (c)(1) introductory text revised.............................34365 327.5 (a)(1)(i) revised............................................34365 327.7 (a)(1)(ii)(A) corrected.......................................3069 327.13 (d) revised.................................................31159 (c)(2) amended.................................................34365 327.23 (d)(2) amended..............................................34365 329.3 Removed......................................................27922 330 Authority citation revised.....................................29963 330.1 (j) revised..................................................29963 330.2 Revised......................................................29963 330.10 (b) introductory text amended; (a) and (b)(2) revised.......29963 330.12 Revised.....................................................29964 (c)(2)(i)(C) and (e) corrected.................................40688 330.13 Revised.....................................................29964 330.15 Revised.....................................................29965 330.16 Revised.....................................................29965 332 Removed........................................................64460 333 Authority citation revised.....................................64461 333.3 Removed......................................................64461 336 Authority citation revised.....................................39628 336.24--336.28 (Subpart D) Removed; interim........................39628 337.6 (a)(1), (9) and (10) removed; (a)(2) and (3) redesignated as (a)(1) and (2); new (a)(3) added...........................54935 353 Revised........................................................28774 360 Authority citation revised..............................43070, 67664 Heading revised; eff. 1-21-94..................................67664 360.1 Redesignated as 360.2; new 360.1 added; eff. 1-21-94.........67664 360.2 (f) added....................................................43070 Redesignated as 360.3; new 360.2 redesignated from 360.1; eff. 1-21-94............................................................67664 360.3 Added........................................................43070 Redesignated as 360.4; new 360.3 redesignated from 360.2; eff. 1-21-94............................................................67664 360.4 Redesignated from 360.3; eff. 1-21-94........................67664 362.1 Amended......................................................64483 362.2 Introductory text revised; (a), (b), (c), (d) through (h), (i), and (j) through (p) redesignated as (e), (f), (g), (i) through (m), (o) and (r) through (x); new (a) through (d), (h), (n), (p) and (q) added; new (x) amended..........64483 362.3 (d)(5)(ii) corrected.........................................59787 362.4 Redesignated as 362.5........................................64483 Added..........................................................64484 362.5 Redesignated as 362.6; new 362.5 redesignated from 362.4.....64483 362.6 Redesignated from 362.5 and amended..........................64483 363 Added..........................................................31335 365 Appendix A corrected............................................4460 Chapter V 506 Technical correction...........................................11186 506.1 (b) table amended (OMB number)..................4311, 44114, 45427 509 Technical correction...........................................11186 509.104 (b) and (f) revised; (g) redesignated as (i); new (g) and (h) added...................................................4311 516 Authority citation revised......................................4312 Technical correction...........................................11186 516.1 (c) introductory text amended.................................4312 516.2 (d)(1) amended...............................................44114 517 Added..........................................................33324 528 Authority citation revised......................................4312 Technical correction...........................................11186 528.1 (d) through (g) removed.......................................4312 528.6 Revised.......................................................4312 541 Authority citation revised......................................4312 Technical correction...........................................11186 541.9 Removed.......................................................4312 541.12 Removed......................................................4312 541.24 Removed......................................................4312 543 Authority citation revised......................................4312 Technical correction...........................................11186 543.1 (a) amended...................................................4312 545 Technical correction...........................................11186 545.12 (b) revised..................................................4312 545.21 Removed......................................................4312 545.34 (b) and (c) amended..........................................4312 545.36 (d) amended..................................................4312 545.41 (a) revised..................................................4312 545.75 (b)(5) removed...............................................4312 545.79 Removed......................................................4312 545.93 Removed......................................................4312 545.123 Removed.....................................................4312 552 Authority citation revised......................................4312 Technical correction...........................................11186 552.6-1 (b) amended.................................................4312 [[Page 631]] 552.7 Removed.......................................................4312 552.8 (b) removed...................................................4312 556 Authority citation revised......................................4312 Technical correction...........................................11186 556.7 Removed.......................................................4312 558 Revised.........................................................4312 Technical correction...........................................11186 559 Removed.........................................................4313 Technical correction...........................................11186 561 Authority citation revised......................................4313 Technical correction...........................................11186 561.5 Removed.......................................................4313 561.16 (b) through (e) and (g) removed; (f) redesignated as (b).....4313 561.17 Removed......................................................4313 561.22 Removed......................................................4313 561.46 Removed......................................................4313 563 Technical correction...........................................11186 563.7 (d) removed; (e) redesignated as (d)..........................4313 563.24 Removed......................................................4313 563.27 (a), (b) designation, heading, (1) designation and (2) removed.....................................................4313 563.29 Removed......................................................4313 563.32 Removed......................................................4313 563.33 (b) removed..................................................4313 563.34 Removed......................................................4313 563.45 Removed......................................................4313 563.48 (e) amended..................................................4313 563.49 Added; eff. 4-19-93 through 4-19-95.........................14513 563.50 (a), (b), (d), (e), and (g)(2) introductory text revised....15084 563.51 (f)(1)(vi) redesignated as (f)(1)(vii); new (f)(1)(vi) and new (f)(1)(vii)(G) added; new (f)(1)(vii)(E) amended; (e), (f)(1)(vii) introductory text and new (f)(1)(vii)(F) revised....................................................15084 563.50--563.52 Appendix A Removed..................................15085 563.90 Removed......................................................4313 563.93 (b)(6)(i) and (d)(3)(ii) amended.............................4313 563.99 (d) removed..................................................4314 563.90--563.101 (Subpart D) Appendix A corrected....................4460 563.131 Removed.....................................................4314 563.132 (a)(1)(ii) revised..........................................4314 563.170 (c)(10) added; interim.....................................28348 563.176 (b) removed; (c) through (f) redesignated as (b) through (e)........................................................45813 563.192 Removed.....................................................4314 563b Technical correction..........................................11186 563b.3 (i)(4)(vi) added.............................................4314 563e Authority citation revised.....................................4314 Technical correction...........................................11186 563e.6 Amended......................................................4314 564 Temporary exceptions...........................................42640 567 Authority citation revised......................................4314 Technical correction...........................................11186 567.1 (i)(2) amended...............................................15086 567.2 (a)(1)(i) revised............................................45813 567.5 (c)(4) added.................................................45813 567.6 Heading revised; (a)(1)(iv)(Q) amended; (a)(1)(iv)(R) and (S) added; (a)(1)(v) removed.................................476 (a)(1)(iv)(S) amended; (a)(1)(iv)(T) added.....................15086 (a)(1)(iv)(O) removed; (a)(1)(ii)(H), (iii)(C) and (iv)(N) revised; eff. 7-1-94...............................................45813 567.7 Added........................................................45813 567.20 Removed......................................................4314 571 Authority citation revised......................................4314 Technical correction...........................................11186 571.1 Removed.......................................................4314 571.3 Removed.......................................................4314 571.10 Removed......................................................4314 571.16 Removed......................................................4314 571.17 Removed......................................................4314 571.25 Removed......................................................4314 571.26 Removed......................................................4314 574 Authority citation revised.....................................45427 574.9 Added........................................................45427 (a)(5)(i)(B) corrected.........................................52140 575 Added..........................................................44114 579--580 (Subchapter E) Removed.....................................4314 579 Technical correction...........................................11186 580 Technical correction...........................................11186 Chapter VI 601 Revised (effective date pending)................................5919 Regulation at 58 FR 5919 eff. 3-3-93...........................12333 607 Added (effective date pending).................................10942 Regulation at 58 FR 10942 eff. 3-25-93.........................16104 611.400 Regulation at 57 FR 43393 eff. 1-29-93......................6604 611.515 (b)(6)(ii)(E) amended (effective date pending).............48790 Regulation at 58 FR 48790 eff. 12-31-93........................67665 [[Page 632]] 611.1122 (e)(6)(iii) amended; (e)(9) revised (effective date pending)...................................................48790 Regulation at 58 FR 48790 eff. 12-31-93........................67665 611.1130 (b)(4)(iii) amended (effective date pending)..............48790 Regulation at 58 FR 48790 eff. 12-31-93........................67665 611.1155 Regulation at 57 FR 46487 eff. 2-23-93....................10945 611.1156 Regulation at 57 FR 46487 eff. 2-23-93....................10945 611.1157 Regulation at 57 FR 46487 eff. 2-23-93....................10945 611.1160 Regulation at 57 FR 46487 eff. 2-23-93....................10945 611.1168 Regulation at 57 FR 46487 eff. 2-23-93....................10945 611.1170 Regulation at 57 FR 46487 eff. 2-23-93....................10945 611.1175 Regulation at 57 FR 46487 eff. 2-23-93....................10945 611.1180 Regulation at 57 FR 46487 eff. 2-23-93....................10945 611.1182 (c) amended (effective date pending)......................48790 Regulation at 58 FR 48790 eff. 12-31-93........................67665 611.1197 (b)(6)(ii)(E) amended (effective date pending)............48790 Regulation at 58 FR 48790 eff. 12-31-93........................67665 611.1225 (t)(2) amended (effective date pending)...................48790 Regulation at 58 FR 48790 eff. 12-31-93........................67665 611.1240 (c) amended (effective date pending)......................48790 Regulation at 58 FR 48790 eff. 12-31-93........................67665 612.2000--612.2110 (Subpart A) Regulation at 57 FR 43394 eff. 1- 29-93.......................................................6605 612.2130--612.2270 (Subpart B) Regulation at 57 FR 43394 eff. 1- 29-93.......................................................6605 612.2150 Regulation at 57 FR 43395 eff. 1-29-93.....................6605 613 Authority citation revised.....................................48790 613.3045 (c)(3)(i) amended (effective date pending)................48790 Regulation at 58 FR 48790 eff. 12-31-93........................67665 614.4130 (a) amended (effective date pending)......................48791 Regulation at 58 FR 48791 eff. 12-31-93........................67665 614.4240--614.4267 (Subpart F) Regulation at 57 FR 54695 eff. 3-1- 93.........................................................11792 614.4250 (a)(1) amended (effective date pending)...................11372 614.4255 (a) revised; (b), (c) and (d) redesignated as (c), (d) and (e); new (b) added; new (c) amended (effective date pending)...................................................11372 614.4325 (g) removed; (h) redesignated as (g) (effective date pending)...................................................40321 Regulation at 58 FR 40321 eff. 1-1-94..........................67665 614.4350--614.4360 (Subpart J) Revised (effective date pending)....40321 Regulation at 58 FR 40321 eff. 1-1-94..........................67665 614.4440 Regulation at 57 FR 54699 eff. 3-1-93.....................11792 614.4443 Regulation at 57 FR 54699 eff. 3-1-93.....................11792 614.4470 (c) amended (effective date pending)......................40324 Regulation at 58 FR 40324 eff. 1-1-94..........................67665 614.4512 (c)(2) and (e)(1) amended (effective date pending)........48791 Regulation at 58 FR 48791 eff. 12-31-93........................67665 614.4514 (d) amended (effective date pending)......................48791 Regulation at 58 FR 48791 eff. 12-31-93........................67665 614.4516 (b)(2) amended (effective date pending)...................48791 (a) introductory text revised (effective date pending).........62514 Regulation at 58 FR 48791 eff. 12-31-93........................67665 614.4517 (a)(5) amended (effective date pending)...................48791 Regulation at 58 FR 48791 eff. 12-31-93........................67665 614.4520 (a) amended (effective date pending)......................48791 Regulation at 58 FR 48791 eff. 12-31-93........................67665 614.4522 (a)(1) heading revised; (b), (c) introductory text, (3), (4), (d) introductory text and (e) amended (effective date pending)...................................................48791 [[Page 633]] Regulation at 58 FR 48791 eff. 12-31-93........................67665 614.4710 Introductory text, (a)(2), (3) and (b)(1) amended (effective date pending)...................................40324 Regulation at 58 FR 40324 eff. 1-1-94..........................67665 615 Authority citation revised.....................................63055 615.5131 Added (effective date pending)............................63055 615.5132 Redesignated from 615.5135(a) and revised (effective date pending)...................................................63056 615.5133 Redesignated from 615.5135(b) and revised (effective date pending)...................................................63056 615.5134 Added (effective date pending)............................63056 615.5135--615.5160 (Subpart E) Heading revised (effective date pending)...................................................63055 615.5135 (a) and (b) redesignated as 615.5132 and 615.5133; new 615.5135 added (effective date pending)....................63056 615.5136 Added (effective date pending)............................63057 615.5140 Heading and (a) revised; (b) redesignated as (d); new (b) and (c) added (effective date pending).....................63057 615.5141 Removed (effective date pending)..........................63055 Redesignated from 615.5180 (effective date pending)............63056 Revised; (effective date pending)..............................63058 615.5142 Removed (effective date pending)..........................63055 Added (effective date pending).................................63058 615.5150 Redesignated as 615.5170 (effective date pending).........63056 615.5151 Redesignated as 615.5171 (effective date pending).........63056 615.5160 Redesignated as 615.5172 (effective date pending).........63056 615.5170--615.5172 (Subpart F) Heading revised (effective date pending)...................................................63058 615.5170 Redesignated from 615.5150 (effective date pending).......63056 615.5171 Redesignated from 615.5151 (effective date pending).......63056 615.5172 Redesignated from 615.5160 (effective date pending).......63056 615.5173 Added (effective date pending)............................63058 615.5174 Added (effective date pending)............................63058 615.5180 Redesignated as 615.5141 (effective date pending).........63056 615.5216 Regulation at 57 FR 46487 eff. 2-23-93....................10945 618 Authority citation revised.....................................10944 618.8230 Removed (effective date pending)..........................10944 Regulation at 58 FR 10944 eff. 3-25-93.........................16105 618.8320 (b)(10) redesignated as (b)(10)(i); (b)(10)(ii) added (effective date pending)...................................51994 Regulation at 58 FR 51994 eff. 11-8-93.........................59161 620 Authority citation revised.....................................27923 620.1 (i) amended (effective date pending).........................48791 Regulation at 58 FR 48791 eff. 12-31-93........................67665 620.2 (b)(3) revised (effective date pending)......................27923 Regulation at 58 FR 27923 eff. 6-17-93.........................33189 (b)(1) amended (effective date pending)........................48791 Regulation at 58 FR 48791 eff. 12-31-93........................67665 620.5 (f)(1)(i)(F) and (g)(1)(iv)(A) revised; (l) and (m)(1) amended (effective date pending)...........................48791 Regulation at 58 FR 48791 eff. 12-31-93........................67665 620.10 (e)(3) and concluding text revised (effective date pending) 27923 Regulation at 58 FR 27923 eff. 6-17-93.........................33189 (e)(1) amended (effective date pending)........................48791 Regulation at 58 FR 48791 eff. 12-31-93........................67665 620.21 (f) amended (effective date pending)........................48791 Regulation at 58 FR 48791 eff. 12-31-93........................67665 620.40 (Subpart F) Revised (effective date pending)................48791 Regulation at 58 FR 48791 eff. 12-31-93........................67665 [[Page 634]] 621 Revised (effective date pending)...............................48786 Regulation at 58 FR 48786 eff. 12-31-93........................67665 621.20 (b)(3) corrected (effective date pending)...................52888 625 Regulation at 57 FR 60109 eff. 2-23-93.........................10945 627 Regulation at 57 FR 46482 eff. 2-23-93.........................10945 627.2710 Regulation at 57 FR 46487 eff. 2-23-93....................10945 627.2785 (c) amended (effective date pending)......................48791 Regulation at 58 FR 48791 eff. 12-31-93........................67665 Chapter VII 700.1 (i)(2) through (6), (15) and (16) introductory text revised; (i)(7) introductory text amended...........................40042 701 Authority citation revised...............................6077, 50445 Authority citation revised...............................6077, 50445 701.12 (b), (c) and (e) revised....................................39433 701.21 (c)(7)(ii)(C) amended........................................6077 (c)(5) amended; (h)(1)(i)(C) and (5) revised...................40043 701.32 (b)(1) and (d) revised......................................21645 701.35 (c) revised; eff. 1-1-95....................................50445 703 Technical correction...........................................16763 703.5 Introductory text, (g) and (j) revised.......................34870 (g)(1)(ii)(A), (2) and (j)(2) corrected........................41419 704.17 Added.......................................................57541 705 Revised........................................................21646 707 Added; eff. 1-1-95.............................................50445 710 Revised........................................................35365 711.2 (h)(1) revised; (l) amended; (o) added.......................39435 711.4 (a)(5), (6) and (c) amended; (c) existing text redesignated as (c)(1); (a)(7), (8) and (c)(2) added....................39435 (a)(8) and (c)(2)(i) introductory text corrected...............58263 711.5 Amended......................................................39435 722 Temporary exceptions...........................................42640 722.3 (a)(1) and (d) revised.......................................40043 740 Authority citation revised.....................................50461 740.2 Amended......................................................50461 741.1 Revised......................................................57542 741.13 (a) revised..................................................5571 748.1 (c) revised..................................................17492 790 Revised........................................................45431 791.18 (c) revised.................................................17493 796 Removed.........................................................6605 Chapter IX 902 Added..........................................................19195 904 Added..........................................................19198 906 Added..........................................................19202 909 Added..........................................................19205 931 Authority citation revised.....................................43542 Technical correction....................................47181, 53023 931.7 Removed......................................................43542 931.8 Removed......................................................43542 931.9 Removed......................................................43542 931.22 Removed.....................................................43542 932 Authority citation revised...............................3490, 31901 Technical correction....................................47181, 53023 932.2 Removed......................................................43542 932.4 Removed......................................................43542 932.5 Removed......................................................43542 932.6 Removed......................................................43542 932.7 Removed......................................................43542 932.13 (c) amended; interim.........................................3490 (c) amended....................................................31901 932.14 (d) amended; interim.........................................3490 (d) amended....................................................31901 932.18 (f)(1) and (3) introductory text revised; interim............3490 (f)(1) and (3) introductory text revised.......................31901 932.21 (d)(2), (g)(1) and (3) revised; interim......................3490 (d)(2), (g)(1) and (3) revised.................................31901 933 Revised........................................................43542 Technical correction...........................................52808 933.1 (n) corrected................................................53023 933.2 OMB number...................................................50837 933.5 OMB number...................................................50837 933.7 (d) corrected................................................47181 933.9 OMB number...................................................50837 (b)(1) corrected........................................53023, 58231 933.12 OMB number..................................................50837 933.13 OMB number..................................................50837 933.14 (b)(2) corrected............................................47181 933.16 (b) corrected...............................................53023 933.18 OMB number..................................................50837 (c) corrected..................................................53023 935 Revised........................................................29469 Authority citation revised.....................................29477 Technical correction...........................................40190 935.1 Amended; interim.............................................29477 935.20 Revised; interim............................................29477 935.22 Added; interim..............................................29477 940 Removed........................................................29474 Technical correction...........................................40190 943.6 (b)(3) removed; (c) amended..................................59936 [[Page 635]] 960.9 Revised; interim.............................................17972 Chapter XVI 1605 Authority citation revised.....................................8222 1605.1 Removed......................................................8222 1605.2 (f), (g), (l), (n), (s) through (v), (x), (y), (cc) and (dd) removed................................................8222 1605.3 Removed......................................................8222 1605.4 Removed......................................................8222 1605.5 Removed......................................................8222 1605.6 Removed......................................................8222 1605.7--1605.14 (Subpart B) Heading revised.........................8222 1605.7 Removed......................................................8222 1605.8 Removed......................................................8222 1605.9 Removed......................................................8222 1605.10 Removed.....................................................8222 1605.11 Removed.....................................................8222 1605.12 Removed.....................................................8222 1605.13 Removed.....................................................8222 1605.14 Removed.....................................................8222 1605.15 Removed.....................................................8222 1605.16 (d) Footnote 4 redesignated as Footnote 2...................8222 1605.23 (c) and (g) removed.........................................8222 1605.27 Removed.....................................................8222 1605.28 Removed.....................................................8222 1605.29 Removed.....................................................8222 1605.30--1605.33 (Subpart E) Heading revised........................8222 1605.30 Removed.....................................................8222 1605.31 Removed.....................................................8222 1605.32 Removed.....................................................8222 1605.33 Removed.....................................................8222 1605.34--1605.43 (Subpart F) Heading revised........................8222 1605.34 Removed.....................................................8222 1605.35 Removed.....................................................8222 1605.36 Removed.....................................................8222 1605.37 Removed.....................................................8222 1605.38 Removed.....................................................8222 1605.39 Removed.....................................................8222 1605.40 Removed.....................................................8222 1605.41 Removed.....................................................8222 1605.42 Removed.....................................................8222 1605.43 Removed.....................................................8222 1616 Revised.........................................................476 1625 Added.........................................................58941 1626 Added.........................................................34871 1627 Added; interim................................................18144 Technical correction...........................................21627 1994 12 CFR 59 FR Page Chapter I 3 Authority citation revised.........................60555, 64563, 66651 3.1 Revised; eff. 1-17-95..........................................64563 3.10 Revised; eff. 1-17-95.........................................64563 3 Appendix A amended...................10952, 10953, 60555, 66645, 66651 4 Heading revised..................................................46326 Authority citation revised.....................................46326 4.1--4.19 Designated as subpart A; heading added...................46326 4.1a (a)(1) amended................................................46326 4.61--4.74 (Subpart C) Added.......................................46326 5.33 Regulation at 57 FR 49642 confirmed; (b)(8) revised...........22498 (b)(6)(ii) amended; eff. 4-3-95................................54796 5.46 (f)(4) and (g)(1) revised; eff. 4-3-95........................54796 5.47 Revised; eff. 4-3-95..........................................54797 8.6 Revised; interim...............................................59642 16 Revised; eff. 4-3-95............................................54798 16.5 (e) and (f) correctly revised.................................67153 27 Authority citation revised......................................26415 27.3 (a) and (b)(1)(xx) revised....................................26415 27.4 (c)(5) revised................................................26415 27.7 (b), (c) introductory text and (d) revised....................26415 27 Heading to Part 27 Appendixes added; Appendix II revised........26415 Appendix III revised...........................................26417 Appendix IV revised............................................26418 Appendix IV correctly revised..................................31924 34 Statement and order.......................................6531, 40202 Temporary exceptions...........................................62562 34.42 (d) through (l) redesignated as (e) through (m); new (d) added......................................................29499 34.43 (a) revised; (b), (c) and (d) redesignated as (d), (e) and (f); new (b) and new (c) added.............................29499 34.44 Revised......................................................29500 34.45 (b) revised..................................................29500 34.41--34.47 (Subpart C) Appendix A removed........................29500 Chapter II 201 Authority citation revised.....................................29538 201.51 Revised.......................................29538, 44313, 60700 201.52 Revised.....................................................29538 (b) revised....................................................60700 203.2 (e)(1) introductory text, (2) and (f) revised................63704 203.4 (a) introductory text amended; (a)(7) revised................63704 203.5 (a) and (e) revised..........................................63704 [[Page 636]] 203 Appendix A amended......................................63704, 63705 204.9 (a) revised..................................................60703 205 Authority citation revised.....................................10683 205.9 (a)(4) revised; interim......................................61788 205.15 Added.......................................................10683 205 Appendix A amended.............................................10683 207 OTC margin stock lists.....................4549, 23124, 37651, 54381 208 Authority citation revised.......................55988, 62992, 63244 208.1--208.19 (Subpart A) Footnotes 11, 12 and 13 redesignated as 9, 10 and 11...............................................55988 208.10 Heading revised; (a), (b) and (c) designation and heading removed....................................................55988 208.17 (a)(2) amended..............................................55988 208.21 Added; eff. 1-9-95..........................................63711 208.22 Added.......................................................28761 208 Appendix A amended......................................62992, 63244 Appendix A amended; eff. 1-17-95...............................64563 Appendix A amended; eff. 4-1-95................................65924 Appendixes A amended and B revised; eff. 4-1-95................65925 210 Authority citation revised.....................................22965 210.1 Amended......................................................22965 210.2 (g) introductory text revised; (p) added.....................22965 210.3 (a) amended; (f) added.......................................22965 210.5 (a) introductory text and (2) revised; (b)(3) amended; (d) added......................................................22965 210.6 (b) and (c) amended; (b)(1) and (2) revised..................22966 210.9 (a)(5) revised...............................................22966 210.12 (a) amended; (d) through (g) redesignated as (e) through (h); new (d) and (i) added; (c) introductory text, (2), new (e) concluding text and (h) revised....................22966 210.13 Revised.....................................................22966 210.14 Revised.....................................................22967 211 Authority citation revised.....................................55028 211.21 (e) revised.................................................55028 211.29 Added.......................................................55028 215 Authority citation revised......................................8837 215.1--215.13 (Subpart A) Revised...................................8837 215.2 (c)(4) and (d) introductory text corrected...................37930 215.3 (b)(2) corrected.............................................37930 215.4 (e)(1) introductory text and Footnote 3 corrected............37930 215.5 (b) and (c)(4) corrected.....................................37930 215.11 (b)(1) corrected............................................37930 215.21 (a) amended; Footnote 10 removed; Footnotes 11 and 12 redesignated as Footnotes 5 and 6...........................8842 215.22 (c)(1)(ii) amended...........................................8842 220 OTC margin stock lists.....................4549, 23124, 37651, 54381 Authority citation revised.....................................53567 220.1 (b)(1) amended; (b)(3) added.................................53567 220.2 (h) revised; (w) through (aa) redesignated as (x) through (bb); new (w) added........................................53567 220.4 (c)(3) revised; (d) amended..................................53568 220.8 (b)(4) amended; (b)(1)(i) introductory text, (ii), (3), (c)(2)(i) and (d) revised..................................53568 220.18 Redesignated as 220.19; new 220.18 added....................53568 220.19 Redesignated from 220.18....................................53568 221 OTC margin stock lists.....................4549, 23124, 37651, 54381 224 OTC margin stock lists.....................4549, 23124, 37651, 54381 225 Statement and order......................................6531, 40202 Authority citation revised.........22968, 29500, 62993, 63244, 65474 Temporary exceptions...........................................62562 225.4 (b)(1) revised; (b)(6) added.................................22968 (d) removed; (e) through (g) redesignated as (d) through (f) 39679 225.7 Added........................................................39679 (b)(3) added; (c)(2) revised; eff.1-23-95......................65474 225.11 Introductory text revised; interim..........................54808 225.14 (i) revised; interim........................................54808 225.15 Added; interim..............................................54808 225.23 Revised; interim............................................54803 225.24 Revised; interim............................................54805 225.62 (d), (e), (f) and (g) through (k) redesignated as (e), (f), (g) and (i) through (m); new (d) and new (h) added.........29500 225.63 Heading and (a) revised; (b) and (c) redesignated (d) and (e); new (b) and new (c) added.............................29500 225.64 Revised.....................................................29501 225.65 (b) revised.................................................29501 225.61--225.67 (Subpart G) Appendix A removed......................29501 [[Page 637]] 225.127 (a) through (d) amended; (f), (g) and (h) added; eff. 1-9- 95.........................................................63713 225 Appendix A amended......................................62993, 63244 Appendix A amended; Appendix D revised; eff. 4-1-95............65926 226 Order...........................................................6532 Authority citation revised.....................................40204 226.15 (e)(3) and Footnote 36b added...............................40204 (e)(4) and Footnote 36c added..................................63715 226.16 Footnotes 36b and 36c redesignated as 36c and 36d...........40204 Footnotes 36c and 36d redesignated as Footnotes 36d and 36e....63715 226.23 (e)(3) and Footnote 48(b) added.............................40204 (e)(4) and Footnote 48c added..................................63715 229 Appendixes A and B-2 amended...................................48790 230 Determination..................................................24032 230.2 (a) and (h) amended..........................................52658 230 Supplement I added.............................................40221 Supplement I amended...........................................52658 231 Added...........................................................4784 262.3 (b)(1)(i)(D) revised; interim................................54809 263 Authority citation revised.....................................65245 263.9 (a) and (b) revised; (e) added; eff. 1-18-95.................65245 264b.3 (d) amended.................................................12805 265.11 (c)(11)(v) revised..........................................22968 268 Revised........................................................16098 Chapter III 303 Authority citation revised......................................7198 303.0 Revised......................................................52660 303.2 Heading and (a) introductory text revised.....................4250 (a) introductory text amended; (c) revised.....................43282 303.4 (b)(1) amended...............................................52662 303.5 (e) introductory text amended................................52662 303.6 (a)(3), (f)(1)(ii)(B) heading and (2) revised; (f)(1)(ii) introductory text, (3) and (4) amended......................4250 Footnote 5 removed; (a)(2), (3), (f)(1)(ii)(A) heading and revised............................................................43282 (e)(1) concluding text redesignated as (e)(1)(iii); (b), new (e)(1)(iii), (2) revised; (e)(1)(i), (ii), (i)(3) and (k)(2) Footnote 7 amended.................................................52662 (f)(1)(i), (3) and (4) revised.................................66655 303.7 Heading, (a)(1)(i), (ii), (iii)(D), (2)(i), (ii), (B), (b)(1), (2), (5), (8), (9), (c)(1), (3), (d)(1)(i), (iii)(A), (2)(i), (3), (4)(xii), (e)(1), (2)(i), (f)(1), (2), (3)(i), (ii), (iii), (4)(i), (5) and (6) amended......52663 303.8 (a)(1), (b)(1), (c), (e), (f)(1), (g)(1), (2), (h), (i)(1) and (2) amended............................................52663 303.9 Revised......................................................52663 303.10 (a)(2), (b)(2)(i) and (c)(1)(i) amended.....................52667 303.11 (b) revised.................................................52667 303.13 (b)(1), (c)(1)(i), (2), (d)(1), (2)(i), (e), (f)(1), (3), (4) and (g) amended; (h) revised...........................52667 303.14 (a)(4)(iv) amended; (e) revised.............................52667 303.15 Added; interim...............................................7198 Regulation at 59 FR 7198 confirmed and revised.................61245 304.3 Revised; eff. 4-1-95.........................................67160 304.6 Removed......................................................50828 304.7 Table amended................................................50828 304 Appendix A amended; eff. 4-1-95................................67160 323 Statement and order......................................6531, 40202 Authority citation revised.....................................29501 Temporary exceptions...........................................62562 323.2 (d) through (l) redesignated as (e) through (m); new (d) added......................................................29501 323.3 Heading and (a) revised; (d) amended; (b), (c) and (d) redesignated as (d), (e) and (f); new (b) and new (c) added......................................................29501 323.4 Revised......................................................29502 323.5 (b) revised..................................................29502 323 Appendix A removed.............................................29502 325 Authority citation revised...............................3784, 64564 325.2 (d) revised; eff. 1-27-95....................................66666 325.3 (a) amended; eff. 1-17-95....................................64564 325.1--325.6 (Subpart A) Appendix A amended.........................3784 325 Appendix A amended; eff. 1-17-95...............................64564 Amended.................................................66660, 66661 Amended; eff. 1-27-95..........................................66666 327.2 Revised; eff. 4-1-95.........................................67160 327.3 Redesignated as 327.4; new 327.3 added; eff. 4-1-95..........67161 327.4 (b)(2)(iv)(B) amended; (b)(2)(v) added.......................29715 [[Page 638]] Redesignated as 327.5; new 327.4 redesignated from 327.3; eff. 4-1-95.............................................................67161 Revised; eff. 4-1-95...........................................67162 327.5 Removed; eff. 4-1-95.........................................67161 Redesignated from 327.4; eff. 4-1-95...........................67161 Revised; eff. 4-1-95...........................................67163 327.6 Heading and (a) revised; eff. 4-1-95.........................67164 327.7 Heading and (a) revised; eff. 4-1-95.........................67164 327.8 (d)(2) revised; (h) added; eff. 4-1-95.......................67164 327.9 Redesignated from 327.13; (a) and (b) removed; (c) and (d) redesignated as (a) and (b); heading, new (a) and new (b) heading revised; new (b) amended; new (c) added; eff. 4-1- 95.........................................................67165 327.11--327.13 (Subpart B) Removed; 327.31--327.33 new Subpart B redesignated from Subpart D; eff. 4-1-95...................67165 327.13 Redesignated as 327.9; eff. 4-1-95..........................67165 327.21--327.24 (Subpart C) Removed; eff. 4-1-95....................67165 327.31--327.33 (Subpart D) Redesignated as Subpart B; eff. 4-1-95 67165 327.31 Amended; eff. 4-1-95........................................67165 327.32 Revised; eff. 4-1-95........................................67165 327.33 Removed; eff. 4-1-95........................................67165 333 Authority citation revised.....................................61246 333.4 Added........................................................61246 335.102 (y) amended; (oo) through (ss) redesignated as (pp) through (tt); new (oo) added; new (pp)(3) revised; eff. 7- 1-95.......................................................67168 335.201 (a) amended; (d) added; eff. 7-1-95........................67168 335.202 Introductory text revised; (f) added; note removed; eff. 7-1-95.....................................................67168 335.203 Note added; (c) and Instructions 1, 2 and 3 removed; eff. 7-1-95.....................................................67169 335.204 (f) revised; (h) amended; (l) added; eff. 7-1-95...........67169 335.205 (a)(3) and (4) revised; eff. 7-1-95........................67169 335.207 (b)(1) amended; (d) introductory text, (1) through (4) and concluding text redesignated as (d)(1) introductory text, (d)(1)(i) through (iv) and (2); (a) and new (d)(2) revised; (f) added; eff. 7-1-95............................67169 335.210 Revised; eff. 7-1-95.......................................67170 335.212 Amended; eff. 7-1-95.......................................67171 335.213 Note amended; eff. 7-1-95..................................67173 335.214 (a) introductory text, (1)(i)(A), (3), (4), (5), Note 2, Note 3 and (d) revised; (a) Note 4 added; (a)(1)(i)(C) (ii)(A), (2), (b) introductory text, (1) and (c) amended; eff. 7-1-95................................................67173 335.220 (b) and (c) removed; (d) through (h) redesignated as (b) through (f); new (b) and new (e) revised; eff. 7-1-95......67174 335.221 Removed; eff. 7-1-95.......................................67174 335.222 Added; eff. 7-1-95.........................................67174 335.301 Amended; note added; eff. 7-1-95...........................67174 335.309a Amended; eff. 7-1-95......................................67174 335.310 (c) note added; eff. 7-1-95................................67175 335.312 Amended; eff. 7-1-95.......................................67175 335.321 Amended; eff. 7-1-95.......................................67175 335.330 Amended; eff. 7-1-95.......................................67175 335.331 Amended; eff. 7-1-95.......................................67175 335.622 (g)(1) revised; eff. 7-1-95................................67175 337.3 (a) and (c)(2) revised.......................................66668 338.4 (b) revised..................................................52668 346 Authority citation revised.....................................60706 346.1 (r) added....................................................60706 346.6 (a)(7) correctly removed; CFR correction.....................53568 346.101 (Subpart D) Removed; new 346.101 (Subpart D) added.........60706 Chapter IV 412 Added..........................................................31136 Chapter V Chapter V Nomenclature change......................................18475 500 Authority citation revised.....................................53570 500.30 (a) amended.................................................53570 503 Authority citation revised.....................................18475 503.1 (e) amended..................................................18475 504 Authority citation revised.....................................18475 504.3 Introductory text amended....................................18475 504.4 Amended......................................................18475 505 Authority citation revised.....................................18475 505.2 Amended......................................................18475 [[Page 639]] 505.4 Amended......................................................18475 506.1 (b) table amended (OMB numbers)..............................44622 (b) table amended (OMB numbers)................................53570 508 Authority citation revised.....................................53570 508.13 (b) amended.................................................53570 515 Authority citation revised.....................................18475 515.2 Amended......................................................18475 515.4 (a) introductory text and (b) amended........................18475 515.5 Amended......................................................18476 544 Authority citation revised.....................................18476 544 Appendix amended...............................................18476 545.32 (b)(2) amended..............................................29502 545.33 (c) introductory text amended...............................53570 545.35 (b) amended.................................................53570 545.74 (b)(2), (c)(5)(v) and (d)(1)(iv) amended....................53570 545.81 (d) heading, (1) introductory text and (2) revised; (d) introductory text added....................................53570 545.103 (b) amended................................................29502 545.141 (d) removed; (e) revised...................................53571 546 Authority citation revised.....................................44622 546.1 Revised......................................................44622 546.2 Revised......................................................44622 546.3 Revised......................................................44623 546.4 Amended......................................................44623 550 Authority citation revised.....................................60303 550.7 Revised......................................................60303 552.2-6 Revised....................................................44623 552.2-7 Added......................................................44623 552.3 (a) designation removed......................................53571 552.4 (d) amended..................................................18476 552.6 (d)(1) amended...............................................18476 552.6-4 Removed....................................................60303 552.13 (a) through (f), (h)(1), (2) introductory text, (iii), (iv), (j), (k) and (l) revised; (g) removed................44623 552 Appendix amended...............................................18476 558.1 (a) amended; (b)(6) revised..................................53571 558.2 Revised......................................................53571 561.5 Added........................................................18476 562.3 (b)(2) removed; (b)(3) redesignated as (b)(2); (d) revised 60303 562.4 Added........................................................60304 563 Authority citation revised.....................................53571 563.10 (c)(2), (3) introductory text and (d) amended...............66159 563.22 (c), (d), and (e) redesignated as (d), (e) and (f); (e) introductory text and (1) removed; new (e)(2), (3), (4), (f)(1) introductory text, (i) through (xi), (xiv), (xv), (xvii) and (xviii) redesignated as (e)(1), (2), (3), (f) introductory text, (1) through (11), (12), (13), (14) and (15); (a), (b), new (d), new (e)(1), (2), (f)(1), (9), (14) and (g) revised; new (f)(1)(xii), (xiii) and new (xvi) removed; new (c), new (e)(4), new (5) and (h) added 44624 (f)(2), (4) and (11) amended; (f)(9), (10), (14) and (15) revised............................................................66159 563.43 Introductory text revised; (c) and (d) amended; (e) added 53571 563.47 (d) amended.................................................66159 563.74 (c) and (h) amended.........................................66159 563.84 (b)(7)(i) introductory text amended.........................66159 563.93 (f)(1) amended..............................................53571 563.96 Removed.....................................................53571 563.170 (c)(1)(iv) revised.........................................29502 (c)(10)(i)(B) revised..........................................53571 (a)(1) designation and (2) removed.............................60304 563.176 (e) removed................................................53571 563.180 (c) amended................................................66159 563b Authority citation revised....................................61260 563b.2 (a)(14) removed; (a)(15) through (19) and (29) through (40) redesignated as (a)(14) through (18) and (30) through (41); new (a)(16) revised; new (a)(19) and (29) added; interim....................................................22732 Regulation at 59 FR 22732 confirmed............................61260 (a)(19) revised................................................61261 563b.3 (c)(2)(i), (ii), (4)(i) through (iv), (5)(i) and (ii) redesignated as (c)(2)(ii), (iii), (4)(ii) through (v), (5)(ii) and (iii); new (c)(2)(i), new (4)(i), new (5)(i) and (g)(4) added; (c)(6)(i), (iv), (7), (14), (23), (d)(4), (g) heading, (1)(i), (ii) and (3) revised; (g)(1)(iii) removed........................................22733 [[Page 640]] (c)(2)(i), (4)(i) and (5)(i) removed; (c)(2)(ii), (iii), (4)(ii) through (v), (5)(ii), (iii) and (d)(12) redesignated as (c)(2)(i), (ii), (4)(i) through (iv), (5)(i), (ii) and (d)(13); (c)(6)(iv), (23), (g)(3)(i)(B), (D) introductory text, (ii), and (4)(vii) through (xi) revised; (d)(12), (g)(4)(xii), (xiii) and (xiv) added........................................................61261 Regulation at 59 FR 22733 confirmed............................61260 563b.4 (b)(1) existing text designated in part as (b)(1)(i) and in part as (ii); new (b)(1)(i) revised........................61261 (b)(1) amended; (c) revised; interim...........................22734 Regulation at 59 FR 22734 confirmed............................61260 563b.5 (d)(4) and (e)(5) revised; interim..........................22734 Regulation at 59 FR 22734 confirmed............................61260 563b.7 (f)(1)(ii) and (3) revised; (f)(1)(iii) amended; (f)(1)(iv) added; interim.............................................22734 Regulation at 59 FR 22734 confirmed............................61260 (f)(2) amended.................................................61262 563b.8 (e)(1) and (t)(1) amended; interim..........................22735 Regulation at 59 FR 22735 confirmed............................61260 563b.10 Revised; interim...........................................22735 Regulation at 59 FR 22735 confirmed............................61260 563b.11 Added......................................................61262 563b.100 Amended; interim..........................................22735 Regulation at 59 FR 22735 confirmed............................61260 563b.101 Amended; interim..........................................22735 Regulation at 59 FR 22735 confirmed............................61260 564 Statement and order......................................6531, 40202 Authority citation revised.....................................29502 Temporary exceptions...........................................62562 564.2 (d) through (l) redesignated as (e) through (m); new (d) added......................................................29502 564.3 (a) revised; (b), (c) and (d) redesignated as (d), (e) and (f); new (b) and new (c) added.............................29502 564.4 Revised......................................................29503 564.5 (b) revised..................................................29503 564.8 (d) introductory text and (2) amended; (d)(1) removed; (d)(2) designation removed.................................29503 (d) introductory text amended..................................53571 564 Appendix A removed.............................................29503 567 Authority citation revised......................................4788 567.1 (v) revised..................................................12810 567.3 (b)(3) and (9) revised; eff. 1-17-95.........................64564 567.5 (a)(2)(i) and (ii) revised; (a)(2)(iii) removed...............4788 567.6 (a)(1)(iii)(C) revised; eff. in part 3-18-94 to 9-29-94 and 9-30-94....................................................12810 (a)(1)(iv)(L) revised...........................................4788 (a)(2)(v) revised..............................................66652 567.7 (a) amended..................................................12811 567.9 (c)(1) revised................................................4788 567.12 Added........................................................4788 571.2 Removed......................................................60304 571.5 Removed......................................................44627 574.5 Heading amended; (b) removed; (c) amended and redesignated as (b).....................................................53571 574.6 (a) revised..................................................28470 574.7 Heading and (c) revised......................................28471 (a)(1) and (b) amended.........................................44627 575 Authority citation revised.....................................61262 575.1 Existing text designated as (a); (a) heading and (b) added 61262 575.7 (e) added; interim...........................................22735 Regulation at 59 FR 22735 confirmed............................61260 (a)(7) redesignated as (a)(8); new (a)(7) added; (d)(2) revised............................................................61262 575.13 (a)(4) amended; interim.....................................22735 (c)(3)(i) revised..............................................44627 Regulation at 59 FR 22735 confirmed............................61260 (a)(4) revised.................................................61262 590 Authority citation revised.....................................53571 Chapter VI 600 Authority citation revised.....................................21641 600.1 Amended (effective date pending).............................21641 Regulation at 59 FR 21641 eff. 4-26-94.........................27970 600.4 (b) revised; (c) and (d) added (effective date pending)......21641 Regulation at 59 FR 21641 eff. 4-26-94.........................27970 [[Page 641]] 600.5 (a), (b) and (c) redesignated as (b), (d) and (e), new (a) and new (c) added; new (b) and new (d) revised (effective date pending)..............................................21642 Regulation at 59 FR 21642 eff. 4-26-94.........................27970 600.10 (c) amended (effective date pending)........................21642 Regulation at 59 FR 21642 eff. 4-26-94.........................27970 604 Authority citation revised.....................................21642 604.440 Amended (effective date pending)...........................21642 Regulation at 59 FR 21642 eff. 4-26-94.........................27970 605 Authority citation revised.....................................21643 605.502 (f) amended (effective date pending).......................21643 Regulation at 59 FR 21643 eff. 4-26-94.........................27970 607.2 (b) introductory text amended................................37403 608 Added (effective date pending).................................13187 Regulation at 59 FR 13187 eff. 5-6-94..........................23615 611 Authority citation revised.....................................37411 611.400 Revised (effective date pending)...........................37411 Regulation at 59 FR 37411 eff. 8-22-94.........................45972 611.1130 (a) amended (effective date pending)......................21643 Regulation at 59 FR 21643 eff. 4-26-94.........................27970 612 Revised (effective date pending)...............................24894 614.4240--614.4267 (Subpart F) Revised; interim (effective date pending)...................................................46730 614.4266 (e) correctly designated..................................50964 614.4351 (a) revised...............................................37403 614.4443 (c) revised; interim......................................46734 614.4516 Regulation at 58 FR 62514 eff. 3-15-94....................11898 614.4710 (a)(1)(i) amended.........................................37404 615.5060 (a) revised (effective date pending).......................3787 Regulation at 59 FR 3787 eff. 3-18-94..........................12811 615.5131 Regulation at 58 FR 63055 eff. 3-15-94....................11898 (t) amended....................................................37404 615.5132 Regulation at 58 FR 63056 eff. 3-15-94....................11898 615.5133 Regulation at 58 FR 63056 eff. 3-15-94....................11898 615.5134 Regulation at 58 FR 63056 eff. 3-15-94....................11898 615.5135--615.5160 (Subpart E) Regulation at 58 FR 63055 eff. 3- 15-94......................................................11898 615.5135 Regulation at 58 FR 63056 eff. 3-15-94....................11898 615.5136 Regulation at 58 FR 63057 eff. 3-15-94....................11898 615.5140 Regulation at 58 FR 63057 eff. 3-15-94....................11898 (a)(8)(i)(B) and (11)(ii) corrected............................22736 615.5141 Regulations at 58 FR 63055, 63056 and 63058 eff. 3-15-94 11898 615.5142 Regulations at 58 FR 63055 and 63058 eff. 3-15-94.........11898 615.5150 Regulation at 58 FR 63056 eff. 3-15-94....................11898 615.5151 Regulation at 58 FR 63056 eff. 3-15-94....................11898 615.5160 Regulation at 58 FR 63056 eff. 3-15-94....................11898 615.5170--615.5172 (Subpart F) Regulation at 58 FR 63058 eff. 3- 15-94......................................................11898 615.5170 Regulation at 58 FR 63056 eff. 3-15-94....................11898 615.5171 Regulation at 58 FR 63056 eff. 3-15-94....................11898 615.5172 Regulation at 58 FR 63056 eff. 3-15-94....................11898 615.5173 Regulation at 58 FR 63058 eff. 3-15-94....................11898 615.5174 Regulation at 58 FR 63058 eff. 3-15-94....................11898 615.5180 Regulation at 58 FR 63056 eff. 3-15-94....................11898 615.5201 (a) through (l) redesignated as (b) through (g) and (i) through (n); new (a) and new (h) added; new (j) revised; new (k) amended............................................37404 615.5210 (d) and (e) redesignated as (e) and (f); new (e)(4) through (7) redesignated as (e)(6) through (9); (c), new (f)(1), new (3)(i) and new (ii)(D)(1) amended; new (e)(3) removed; new (d), (e)(3), (4) and (5) added; new (e)(2) revised....................................................37404 [[Page 642]] 615.5495 (b) amended (effective date pending)......................21643 Regulation at 59 FR 21643 eff. 4-26-94.........................27970 618.8270 Revised (effective date pending)..........................37411 Regulation at 59 FR 37411 eff. 8-22-95.........................45972 618.8320 (b)(11) added; interim (effective date pending)...........46734 618.8325 (b) amended; interim (effective date pending).............46734 620.1 (j) amended..................................................37406 620.5 (i) revised (effective date pending).........................37412 Regulation at 59 FR 37412 eff. 8-22-95.........................45972 621 Authority citation revised.....................................60888 621.11 Removed; interim............................................60888 630 Added (effective date pending).................................46742 650 Added (effective date pending)..................................9626 Regulation at 59 FR 9626 eff. 9-13-94..........................46913 Chapter VII 701 Authority citation revised.....................................39424 Authority citation corrected...................................52862 701.1 Revised......................................................29075 Amended........................................................36041 701.2 (b) and (c) amended..........................................36041 701.3 Correctly removed; CFR correction............................54517 701.4 Correctly removed; CFR correction............................54517 701.6 (a), (b)(2) and (3) revised..................................33421 701.14 (f) amended.................................................36042 701.21 (c)(7)(ii)(C) revised.......................................39425 701.31 (d)(3) amended..............................................36041 701.32 (b)(2), (3) and (4) redesignated as (b)(4), (5) and (6); (b)(1) and new (6) revised; new (b)(2) and new (3) added 26102 704.2 Amended; eff. 1-1-96.........................................59360 704.10 (b)(2) amended..............................................47072 704.11 (a)(1) and (2) amended......................................47072 704.12 Revised; eff. 1-1-96........................................59360 704.13 (c) amended.................................................47072 704.16 Amended.....................................................47072 704 Appendix B amended.............................................47072 707 Compliance date extended.......................................39425 707.2 (r) amended..................................................13436 (a) and (q) revised............................................59899 707.6 (b)(3) revised...............................................59899 707.8 (c)(5) revised (OMB number pending)..........................13436 707.9 (b) revised (OMB number pending).............................13436 707 Appendix B amended......................................13436, 13437 Appendix C added...............................................59899 708 Redesignated as 708b...........................................48792 708a Added; interim................................................48792 708b Redesignated from 708.........................................48792 Authority citation revised.....................................67620 708b.102 (d) and (e) amended.......................................67620 708b.105 (b) amended...............................................67620 708b.106 (a)(2)(ii) and (b) amended................................67620 708b.202 (a), (b) and (c) amended..................................67620 708b.204 (a), (b) and (c) amended..................................67620 709.8 (c)(1) amended...............................................36041 709.9 (b) amended..................................................36041 722 Statement and order......................................6531, 40202 Temporary exceptions...........................................62562 741.6 (a) amended..................................................26103 741.11 (b)(1), (c), (d) and (g) revised............................33421 745.202 (a) amended................................................36041 747.306 (b) amended................................................36041 747.307 (a) amended................................................36042 747.609 (d) amended................................................36041 747.616 Amended....................................................36041 790 Authority citation revised.....................................36041 790.2 (b)(6) redesignated as (b)(6)(i) and (ii); (b)(1), (3), new (6)(i), (8) and (9) amended; (b)(6)(iii), (13), (14) and (15) added; (d) and (e) removed............................36042 (b)(6)(ii) removed; (b)(6)(iii) redesignated as (b)(6)(ii); (b)(10) revised; (b)(16) added.....................................47072 791.8 (c) amended..................................................36041 792 Authority citation revised.....................................36041 792.2 (g)(1) amended...............................................36041 (f), (g)(1) and (2) amended....................................36042 792.5 (b)(1)(i), (ii) and (2) amended..............................36042 792.22 (a) amended.................................................36041 792.24 (b)(3) amended..............................................36042 792.26 (a) amended..........................................36041, 36042 792.27 (a) and (c) amended.........................................36041 792.37 (a) amended.................................................36042 792.40 Amended.....................................................36041 792.50 (a) amended.................................................36042 793 Authority citation revised.....................................36041 793.2 (c) amended..................................................36041 794.170 (c) amended................................................36042 Chapter IX 935 Authority citation revised......................................2949 935.1 Amended.......................................................2949 [[Page 643]] 935.5 (a)(2) amended; (a)(3) and (b) through (g) added..............2949 935.17 Revised......................................................2950 Chapter XI 1102.300--1102.304 (Subpart D) Authority citation revised...........1902 1102.305 Added......................................................1902 1102.306 Added......................................................1902 1102.307 Added......................................................1902 Chapter XIV 1402 Added.........................................................24638 1403 Added; interim................................................53084 Regulation at 59 FR 53084 eff. 11-21-94........................60888 1408 Added.........................................................24899 Chapter XVI 1609 Revised; interim..............................................52671 Regulation at 59 FR 52671 confirmed; eff. 1-12-95..............64111 1627 Revised........................................................5939 1630 Added; interim.................................................8845 Regulation at 59 FR 8845 confirmed.............................37931 1640 Added; interim................................................47793 Regulation at 59 FR 47793 confirmed............................60305 Chapter XVII Chapter XVII Established...........................................62304 1995 12 CFR 60 FR Page Chapter I 3 Authority citation revised.......................................17987 3.2 (a) revised.....................................................7907 3.10 Revised.......................................................39493 3.100 (c)(2) revised; interim......................................39229 3 Appendix A amended....................7907, 17987, 39493, 46174, 46176 Appendix A amended; interim.............................39229, 47458 Appendix A corrected....................................43191, 64115 Appendix A amended; eff. 4-1-96................................66044 4 Revised..........................................................57322 6.2 (g) revised; interim...........................................39229 10 Authority citation revised......................................57332 10.1 Introductory text amended.....................................57332 10.2 (b) amended...................................................57332 10.3 (a) revised; (b) and (c) amended; (d) added...................57332 10.4 (a)(1), (2)(ii), (b)(2)(i), (ii), (c)(1) and (d)(2) amended 57332 10.41 Undesignated center heading and section removed..............57332 10.42 Removed......................................................57332 11 Authority citation revised......................................57332 11.1 (a) amended...................................................57332 11.2 (a) and (c) amended...........................................57332 11.3 Revised.......................................................57332 11.4 (a) revised...................................................57332 18.1 (a) amended...................................................57332 18.4 (a)(1)(ii), (b) and (d) amended...............................57332 18.5 (a) revised...................................................57332 18.9 Amended.......................................................57333 18.10 Revised......................................................57333 19 Authority citation revised......................................30184 19.9 (a)(1) and (b) revised; (e) added.............................30184 22 Authority citation revised......................................35288 22.6 Added; eff. 1-2-96............................................35288 24.4 (a)(2) and (3) amended; (a)(4) removed........................67050 25 Authority citation revised......................................22178 25.1 Removed.......................................................22189 25.2 Removed.......................................................22189 25.3 Removed; eff. 7-1-97..........................................22189 25.4 Removed; eff. 7-1-97..........................................22189 25.5 Removed; eff. 7-1-97..........................................22189 25.6 Removed; eff. 7-1-97..........................................22189 25.7 Removed; eff. 7-1-97..........................................22189 25.8 Removed.......................................................22189 25.11--25.12 (Subpart A) Added.....................................22178 25.12 (h)(3) amended...............................................66050 25.21--25.29 (Subpart B) Added.....................................22180 25.27 (h) amended..................................................66050 25.41--25.45 (Subpart C) Added.....................................22184 25.51 (Subpart D) Added............................................22186 Removed; eff. 7-1-97...........................................22189 (a) amended....................................................66050 25.101 Undesignated center heading and section removed.............22189 25 Appendix A added................................................22186 Appendix B added...............................................22189 30 Added...........................................................35680 30 Appendix A added.........................................35678, 35682 32 Revised..........................................................8532 35 Removed; eff. 1-1-99............................................27401 Chapter II 201.51 Revised......................................................9281 202 Supplement I amended.............................29967, 29968, 29969 203.4 (e) added....................................................22225 203 Appendix A amended.............................................22225 Supplement I added.............................................63396 204.9 (a) revised..................................................57913 205.9 Regulation at 59 FR 61788 confirmed; (a)(4) revised..........15033 [[Page 644]] 207 OTC margin stock lists.....................5845, 20005, 38948, 55184 208 Authority citation revised................35288, 35682, 39229, 39493 208.8 (e)(4) added; eff. 1-2-96....................................35288 208.31 (f) revised; interim........................................39229 208.60 (Subpart D) Added...........................................35682 208.123 Added......................................................17437 208 Appendix A amended.........................8180, 39493, 46176, 46178 Appendix D added........................................35678, 35682 Appendix A amended; interim....................................39229 Appendixes A and B amended; interim............................39230 Appendixes A and B amended.....................................45615 Appendix A amended; eff. 4-1-96................................66044 211 Authority citation revised.....................................67054 211.2 (u) and (v) redesignated as (v) and (w); new (u) and (x) added......................................................67054 211.5 (c)(2) and (3) redesignated as (c)(3) and (4); new (c)(2) added; new (c)(3) amended..................................67054 215 Authority citation revised.....................................31054 215.2 (i) introductory text amended; (i)(1) and (2) revised; (i)(3) removed.............................................31054 215.5 (c)(2) introductory text revised.............................17636 219 Heading and revised..............................................233 Regulation at 60 FR 233 eff. date delayed to 4-1-96............44144 219.1--219.7 Designated as Subpart A; heading added..................233 Regulation at 60 FR 233 eff. date delayed to 4-1-96............44144 219.1 Revised........................................................233 Regulation at 60 FR 233 eff. date delayed to 4-1-96............44144 219.2 Introductory text revised......................................233 Regulation at 60 FR 233 eff. date delayed to 4-1-96............44144 219.21--219.24 (Subpart B) Added.....................................233 Regulation at 60 FR 233 eff. date delayed to 4-1-96............44144 220 OTC margin stock lists.....................5845, 20005, 38948, 55184 221 OTC margin stock lists.....................5845, 20005, 38948, 55184 224 OTC margin stock lists.....................5845, 20005, 38948, 55184 225.7 (b)(4) added.................................................20189 225.32 (a)(2) redesignated as (a)(3); new (a)(2) added.............35121 225 Appendix A amended.........................8181, 45616, 46179, 46181 Appendix A amended; interim....................................39230 Appendixes A and D amended; interim............................39231 Appendix A amended; eff. 4-1-96................................66045 226.1 (d)(5) redesignated as (d)(6); (b) and new (d)(6) revised; new (d)(5) added...........................................15471 226.2 (a)(17)(i) Footnote 3 revised................................15471 226.5b (f)(2) introductory text revised; (f)(4) added..............15471 226.23 (a)(3) Footnote 48 revised..................................15471 226.28 (b) amended.................................................15471 226.31--226.33 (Subpart E) Added...................................15471 226.31 (g) corrected...............................................29969 226.32 (b)(1)(iii) corrected.......................................29969 226 Appendix H amended.............................................15473 Appendix K added...............................................15474 Appendix L added...............................................15476 Supplement I amended...............16776, 16777, 16778, 16779, 16780 Appendix K corrected...........................................50400 228 Authority citation revised.....................................22189 228.1 Removed......................................................22201 228.2 Removed......................................................22201 228.3 Removed; eff. 7-1-97.........................................22201 228.4 Removed; eff. 7-1-97.........................................22201 228.5 Removed; eff. 7-1-97.........................................22201 228.6 Removed; eff. 7-1-97.........................................22201 228.7 Removed; eff. 7-1-97.........................................22201 228.8 Removed......................................................22201 228.11--228.12 (Subpart A) Added...................................22190 228.12 (h)(3) amended..............................................66050 228.21--228.29 (Subpart B) Added...................................22191 228.27 (h) amended.................................................66050 228.41--228.45 (Subpart C) Added...................................22195 228.51 (Subpart D) Added...........................................22197 Removed; eff. 7-1-97...........................................22201 (a) amended....................................................66050 228.100 Removed....................................................22201 228 Appendix A added...............................................22198 Appendix B added...............................................22200 229.1 (b)(2) revised...............................................51670 229.2 (e)(6), (s) and (ll) revised; (l) and (y) removed............51670 229.12 Heading and (a) revised.....................................51670 229.13 (a) introductory text added; (a)(1)(iii) revised............51671 [[Page 645]] 229.16 (b)(2) amended..............................................51671 229.17 Revised.....................................................51671 229.19 (b) introductory text, (c)(4)(i), (e)(1)(ii) and (2)(ii) revised....................................................51671 229.36 (e) revised.................................................51671 229 Appendixes A, B-1, B-2 and C amended...........................51671 Appendix E revised.............................................51672 Appendix F amended.............................................51703 230.4 (b)(6)(iii) amended; interim..................................5130 230.8 (c)(6)(ii) added; interim.....................................5130 230 Appendix A amended; interim.....................................5130 Appendix B amended; interim.....................................5131 261a Revised........................................................3341 263 Authority citation revised.....................................35682 263.300--263.305 (Subpart I) Added.................................35682 265.6 (b)(2) revised; (b)(3) added.................................10307 265.11 (e)(12) added...............................................22257 Chapter III ChapterIII Regulation status notification..........................66483 303 Authority citation revised.....................................35683 303.0 (c) heading and (1) removed; (c)(2) redesignated as (c)......31384 303.9 (o) added....................................................35683 304.5 (a) and (c) amended..........................................31384 308 Authority citation revised..............................24762, 35684 308.9 (a) and (b) revised; (e) added...............................24762 308.145 Amended....................................................31384 308.300--308.305 (Subpart R) Added.................................35684 309 Revised; eff. 1-2-96...........................................61465 309.4 (e) and (g) amended..........................................31384 309.5 (h) amended..................................................31384 324.2 (d) amended..................................................31384 324.7 (a) amended..................................................31384 325 Authority citation revised..............................15861, 45609 325.2 (t) and (v) amended...........................................8187 (n) amended; (s) revised; interim..............................39232 325.3 (e) added; interim...........................................45609 325.5 (f)(3)(i) and (4)(i) amended; (g) added.......................8187 (f), (g)(2)(i)(B) and (5) amended; interim.....................39232 325 Appendix A amended..................8188, 15861, 39493, 46183, 46184 Appendixes A and B amended; interim............................39232 Appendix A amended; interim....................................45609 Appendix A amended; eff. 4-1-96................................66045 327 Assessment rate schedule.........................42741, 63400, 63406 327.3 (c)(2), (d)(2), (e) and (f) revised; (c)(3) and (j) added....50407 327.7 (a)(2), (3) and (b) revised; (c) added.......................50409 327.8 (i) added....................................................42741 327.9 (a) revised; (b) removed; (c) redesignated as (d); new (b) and new (c) added..........................................42741 (b)(3)(i), (c)(2) introductory text and (3) amended............67055 330.6 (a) revised...................................................7709 330.7 (c) revised...................................................7710 330.10 Heading revised..............................................7710 330.11 (d) added....................................................7710 330.12 (g) heading and introductory text revised; (g)(1), (2) and (3) redesignated as (g)(2), (3) and (4); new (g)(1) and (h) added...................................................7710 336 Authority citation revised.....................................20177 336.1 Revised......................................................20178 336.2 Removed......................................................20178 336.3 Removed......................................................20178 336.4 Removed......................................................20178 336.5 Removed......................................................20178 336.6 Removed......................................................20178 336.7--336.14 (Subpart B) Removed..................................20178 336.15--336.23 (Subpart C) Removed.................................20178 336.29--336.31 (Subpart D) Removed.................................20178 336.32--336.37 (Subpart E) Removed.................................20178 336 Appendix removed...............................................20178 337.6 (e)(1) amended; (h)(3) revised...............................31384 339 Authority citation revised.....................................35288 339.7 Added; eff. 1-2-96...........................................35288 341.3 (c) amended..................................................31384 341.5 (b) amended..................................................31384 343.3 (e) amended..................................................31384 344.8 Added.........................................................7111 345 Authority citation revised.....................................22201 345.1 Removed......................................................22212 345.2 Removed......................................................22212 345.3 Removed; eff. 7-1-97.........................................22212 345.4 Removed; eff. 7-1-97.........................................22212 345.5 Removed; eff. 7-1-97.........................................22212 345.6 Removed; eff. 7-1-97.........................................22212 345.7 Removed; eff. 7-1-97.........................................22212 [[Page 646]] 345.8 Removed......................................................22212 345.11--345.12 (Subpart A) Added...................................22201 345.12 (h)(3) amended..............................................66050 345.21--345.29 (Subpart B) Added...................................22202 345.27 (h) amended.................................................66050 345.41--345.45 (Subpart C) Added...................................22206 345.51 (Subpart D) Added...........................................22209 Removed; eff. 7-1-97...........................................22212 (a) amended; eff. to 7-1-97....................................66050 345.101 Undesignated center heading and section removed............22212 345.102 Removed....................................................22212 345 Appendix A added...............................................22209 Appendix B added...............................................22211 346.20 (a) amended.................................................31384 346.101 (g) revised................................................31384 360 Authority citation revised..............................35488, 66865 360.3 (f) revised..................................................35488 360.4 Revised......................................................35488 360.5 Added........................................................66865 361.7 (b) amended..................................................31384 362.6 Revised......................................................31384 364 Added..........................................................35685 364 Appendix A added........................................35678, 35685 Chapter IV 400 Revised........................................................17628 401 Removed........................................................16045 402 Removed........................................................16045 406 Removed........................................................16045 409 Removed.........................................................9613 Chapter V 500--517 (Subchapter A) Heading removed; nomenclature change.......66715 500.1 Existing text designated as (a); (b), (c) and (d) redesignated from 500.3, 500.4 and 500.5...................66868 500.3 Existing text redesignated as 500.1(b); removed..............66868 500.4 Existing text redesignated as 500.1(c); removed..............66868 500.5 Existing text redesignated as 500.1(d); removed..............66868 500.10 Amended.....................................................66869 500.11 Removed.....................................................66869 500.12 Removed.....................................................66869 500.14 Removed.....................................................66869 500.15 Removed.....................................................66869 500.17 Removed.....................................................66869 504 Removed........................................................66869 505.1 (a) and (b) amended..........................................66715 505.2 Revised......................................................66716 505.3 Revised......................................................66716 505.4 Revised......................................................66716 506.1 (b) table amended (OMB numbers)..............................28031 Revised (OMB numbers)..........................................66716 509.9 (a) and (b) revised; (e) added...............................28035 510 Authority citation revised..............................28031, 66716 510.1 Removed......................................................66869 510.2 (a) amended..................................................66716 510.3 Removed......................................................66869 510.5 Revised......................................................28031 512 Authority citation revised.....................................66716 512.4 Amended......................................................66717 512.5 (a) amended..................................................66717 515 Removed........................................................66869 516.1 (b)(1) through (5) amended...................................66717 516.3 (c) revised..................................................66717 528--535 (Subchapter B) Heading removed; nomenclature change.......66715 529 Removed........................................................66869 533 Removed........................................................66869 541--558 (Subchapter C) Heading removed; nomenclature change.......66715 543.8 (a) amended..................................................66717 543.11 (c)(1)(iii)(C) amended......................................66717 543.12 Removed.....................................................66869 543.13 Removed.....................................................66869 544.3 Amended......................................................66717 545.15 Removed.....................................................66869 545.18 Removed.....................................................66869 545.19 Removed.....................................................66869 545.20 Removed.....................................................66869 545.44 Removed.....................................................66869 545.74 (c)(4)(iv) amended..........................................66717 545.82 (c)(1)(i), (ii) and (f)(2) amended..........................66717 545.121 (c) concluding text and (e) amended........................66717 545.122 Removed....................................................66869 545.131 (b)(7) introductory text amended...........................66717 545.136 Removed....................................................66869 545.137 Removed....................................................66869 550.2 (c) introductory text, (1), (4), (5), (7), (9) and (d) amended....................................................66717 550.3 Amended......................................................66717 550.10 (b)(2) amended..............................................66717 550.13 (b) amended.................................................66717 550.14 (a), (b) and (c) introductory text amended..................66717 [[Page 647]] 550.15 (a) amended.................................................66718 552.2-4 Removed....................................................66869 552.5 (a) and (b)(1)(ii) amended...................................66718 552.6-2 (b) amended................................................66869 552 Appendix amended...............................................66718 556.4 Removed......................................................66869 556.5 (c)(4) amended...............................................66718 556.6 Removed......................................................66869 556.8 Removed......................................................66869 556.9 Removed......................................................66869 556.11 Removed.....................................................66869 556.14 Removed.....................................................66869 556.15 Removed.....................................................66869 561--575 (Subchapter D) Heading removed; nomenclature change.......66715 562.3 Removed......................................................66869 563 Authority citation revised.....................................35288 563.8 Removed......................................................66869 563.9 (f) amended..................................................66718 563.41 (b)(11) added; (d)(1) removed; (d)(2) through (7) redesignated as (d)(1) through (6); (b)(10)(iv) and new (d)(1) amended.............................................66869 563.42 (d)(1) amended..............................................66869 563.43 (f) added...................................................66869 563.48 (f) added; eff. 1-2-96......................................35288 563.49 Removed.....................................................66869 563.52 (b) amended.................................................66869 563.72 Removed.....................................................66869 563.93 (b) introductory text, (9), (c) introductory text, (d)(3)(ii), (f)(1) and Appendix amended; (b)(6) and (11) revised; interim...........................................15863 Regulation at 60 FR 15861 confirmed............................66715 (b)(11)(ii) amended............................................66718 563.134 (b)(5) and (c) amended.....................................66718 563.160 (c)(2) and (d)(1) amended; (f) removed.....................66718 563.170 (b)(1), (c)(3)(iii) and (e) amended........................66718 563.177 (a) and (b) amended........................................66718 563b.2 (a)(15) removed; (a)(16) redesignated as (a)(15); new (a)(16) added..............................................66718 563b.3 (c)(8) and (13) amended.....................................66718 563b.4 (b)(1)(i) concluding text redesignated as (b)(2)(ii) and amended....................................................66718 563b.8 (e)(1) amended..............................................66718 563b.29 (b) amended................................................66718 563c Authority citation revised....................................66718 563c.3 (a) designation and (b) removed.............................66718 563d Authority citation revised....................................66718 563d.1 Amended.....................................................66718 563d.2 Amended.....................................................66718 563d.200-30 Removed................................................66869 563e Authority citation revised....................................22212 563e.1 Removed.....................................................22223 563e.2 Removed.....................................................22223 563e.3 Removed; eff. 7-1-97........................................22223 563e.4 Removed; eff. 7-1-97........................................22223 563e.5 Removed; eff. 7-1-97........................................22223 563e.6 Removed; eff. 7-1-97........................................22223 563e.7 Removed; eff. 7-1-97........................................22223 563e.8 Removed.....................................................22223 563e.11--563e.12 (Subpart A) Added.................................22212 563e.12 (g)(3) amended.............................................66050 563e.21--563e.29 (Subpart B) Added.................................22213 563e.27 (h) amended................................................66050 563e.41--563e.45 (Subpart C) Added.................................22217 563e.51 (Subpart D) Added..........................................22220 Removed; eff. 7-1-97...........................................22223 (a) amended....................................................66050 563e Appendix A added..............................................22220 Appendix B added...............................................22223 563g.5 (b)(1) and (2) revised......................................66869 563g.22 Removed....................................................66870 565.2 (f) revised; interim.........................................39232 565.9 (a) amended..................................................66719 566 Authority citation revised.....................................66719 566.2 (c) amended..................................................66719 567 Authority citation revised.....................................45621 567.1 (m) revised; interim.........................................39232 (d) revised....................................................42028 567.3 (a), (d)(1) and (5) revised; (b)(5), (d)(2) and (3) amended 66719 567.4 (a)(1) introductory text, (3)(i) introductory text, (A), (C), (ii), (4), (5)(ii) and (b)(1) amended; (a)(2) introductory text and (6) revised..........................66719 567.5 (a)(2) heading, (i) and (ii) revised; interim................39232 567.6 (a)(1)(iv)(L) and (M) revised; interim.......................39232 (a) and (2)(i)(C) amended; (a)(3) added; interim...............45621 567.9 (c)(1) revised; interim......................................39232 567.10 (a)(3) introductory text and (c) amended....................66720 [[Page 648]] 567.12 Heading and (a) through (f) revised; interim................39232 567.13 (c) amended.................................................66720 570 Added..........................................................35686 570 Appendix A added........................................35678, 35687 571.6 (a)(2)(iv), (b)(3)(i), (d)(1), (2), (4)(ii) and (g) amended; (b)(3)(i) redesignated as (b)(3)...........................66720 571.13 (a) introductory text and (1) amended.......................66720 571.20 (a) amended.................................................66720 571.24 (a) amended.................................................66870 574.2 (i) removed..................................................66720 574.3 (c)(2)(v) amended............................................66720 574.4 (c)(4)(ii) and (f)(2) amended................................66720 574.6 (a)(4), (5) and (6) added; (c)(3)(ii)(D) amended; (c)(3)(iii) removed........................................66720 574.7 (a)(2)(iii)(A), (E), (F)(1) through (4) and (c)(2) introductory text amended..................................66720 575.2 (i) and (p) amended..........................................66720 575.10 (a)(1) and (2)(iii) amended.................................66720 575.11 (g) amended.................................................66720 583--584 (Subchapter F) Heading removed; nomenclature change.......66715 583 Authority citation revised..............................66720, 66870 583.10 Removed.....................................................66720 583.17 Amended.....................................................66870 584.1 (b) amended..................................................66720 584.2-1 (b)(2) and (3) introductory text amended...................66870 584.2a (a)(2) amended..............................................66870 584.2-2 (b) and (c) amended........................................66720 584.3 Removed......................................................66870 584.6 Removed......................................................66870 584.11 Removed.....................................................66870 590--591 (Subchapter G) Heading removed; nomenclature change.......66715 Chapter VI Chapter VI Regulatory burden statement.............................57913 601 Revised; interim (effective date pending)......................30782 Regulation at 60 FR 30782 confirmed; eff. 9-13-95..............47453 607.2 Regulation at 59 FR 37403 eff. 12-31-94........................325 611.1125 (b)(2) amended (effective date pending)...................34099 Regulation at 60 FR 34099 eff. 8-8-95..........................42049 612 Regulation at 59 FR 24894 eff. 12-31-94..........................325 614 Authority citation revised.....................................35289 614.4240--614.4267 (Subpart F) Regulation at 59 FR 46730 eff. 1-4- 95..........................................................2683 614.4260 (c)(5) introductory text revised...........................2687 614.4351 Regulation at 59 FR 37403 eff. 12-31-94.....................325 614.4443 Regulation at 59 FR 46734 eff. 1-4-95......................2683 614.4470 (b)(1) and (3) amended (effective date pending)...........20010 Regulation at 60 FR 20010 eff. 5-24-95.........................27402 614.4710 Regulation at 59 FR 37404 eff. 12-31-94.....................325 614.4940 (Subpart S) Added; eff. 1-2-96............................35289 615.5104 Removed (effective date pending)..........................20011 Regulation at 60 FR 20011 eff. 5-24-95.........................27402 615.5105 (c) removed (effective date pending)......................20011 Regulation at 60 FR 20011 eff. 5-24-95.........................27402 615.5131 Regulation at 59 FR 37404 eff. 12-31-94.....................325 615.5170 (a) designation and (b) through (e) removed (effective date pending)..............................................20011 Regulation at 60 FR 20011 eff. 5-24-95.........................27402 615.5190 (Subpart G) Removed (effective date pending)..............20011 Regulation at 60 FR 20011 eff. 5-24-95.........................27402 615.5201 Regulation at 59 FR 37404 eff. 12-31-94.....................325 615.5210 Regulation at 59 FR 37404 eff. 12-31-94.....................325 615.5230 (a)(1)(ii) and (3) revised; (a)(1)(iii) added (effective date pending)..............................................57921 615.5498 Removed (effective date pending)..........................20011 Regulation at 60 FR 20011 eff. 5-24-95.........................27402 615.5500--615.5530 (Subpart P) Removed (effective date pending)....20011 [[Page 649]] Regulation at 60 FR 20011 eff. 5-24-95.........................27402 Added; interim (effective date pending)........................57919 618.8000--618.8030 (Subpart A) Revised (effective date pending)....34099 Regulation at 60 FR 34099 eff. 8-8-95..........................42029 618.8025 (a) corrected.............................................42029 618.8030 Redesignated as 618.8040 (effective date pending).........34099 Regulation at 60 FR 34099 eff. 8-8-95..........................42029 618.8040 (b)(10) removed; (b)(2) through (9) redesignated as (b)(3) through (10); (b)(1) and new (6) revised; new (b)(2) added; new (b)(3) amended (effective date pending) 34101 Redesignated from 618.8030 (effective date pending)............34099 Regulation at 60 FR 34099 eff. 8-8-95..........................42029 618.8220 Removed (effective date pending)..........................20011 Regulation at 60 FR 20011 eff. 5-24-95.........................27402 618.8320 Regulation at 59 FR 46734 eff. 1-4-95......................2683 618.8325 Regulation at 59 FR 46734 eff. 1-4-95......................2683 620.1 Regulation at 59 FR 37406 eff. 12-31-94........................325 620.5 (a)(3) amended (effective date pending)......................34102 Regulation at 60 FR 34102 eff. 8-8-95..........................42029 620.21 Heading, (c)(3), (d)(1), (3), (5) and (6) revised (effective date pending)...................................20013 Regulation at 60 FR 20013 eff. 5-24-95.........................27684 (d)(1) amended; (d)(3) revised (effective date pending)........57922 630 Regulation at 59 FR 46742 eff. 1-4-95...........................2493 Chapter VII 701.1 OMB number...................................................67321 701.6 (d)(4) revised; eff. 1-29-96.................................58503 701.14 (a) amended.................................................31911 701.21 (c)(8) revised..............................................51889 (a) amended; eff. 1-29-96......................................58504 (a) corrected..................................................63613 701.22 (a)(1), (b)(2), (c)(4) and (d)(1) revised; eff. 1-26-96.....58204 701.23 (b)(2)(iii) revised; eff. 1-29-96...........................58504 705.3 (b) revised; eff. 1-29-96....................................58504 707 Compliance date extension...............................25121, 57173 707 Appendix C amended.............................................21699 708a Regulation at 59 FR 48792 confirmed...........................12661 708a.1 Revised.....................................................12661 708a.2 Revised.....................................................12661 708a.3 Added.......................................................12661 708a.4 Added.......................................................12662 708a.5 Added.......................................................12662 708a.6 Added.......................................................12662 708a Appendix A added..............................................12662 722.3 Heading, (a) and (d) revised; (e) added......................51894 722.4 Revised......................................................51894 722.5 (b) revised..................................................51895 722 Appendix A removed.............................................51895 741 Revised; eff. 1-29-96..........................................58504 747.901 Amended....................................................31911 747.902 Amended....................................................31911 747.904 (b)(2) amended.............................................31911 760 Authority citation revised.....................................35289 760.12 Added; eff. 1-2-96..........................................35289 790.2 (b)(14) revised; (c)(2) amended..............................31911 792 Authority citation revised.....................................31912 792.2 (f) amended..................................................31911 792.34 (b)(3) added................................................31912 Chapter IX 900 Authority citation revised.....................................49199 900.51 Revised.....................................................49199 922.6 Revised......................................................49199 922.7 Removed......................................................49199 934 Authority citation revised.....................................65516 934.11 Removed; new 934.11 redesignated from 934.12................65516 934.12 Redesignated as 934.11; new 934.12 redesignated from 934.13 65516 934.13 Redesignated as 934.12; new 934.13 redesignated from 934.14 65516 934.14 Redesignated as 934.13; new 934.14 redesignated from 934.15 65516 934.15 Regulation at 55 FR 50545 confirmed.........................42779 Redesignated as 934.14.........................................65516 937 Removed........................................................36967 939 Removed........................................................36967 943 Authority citation revised.....................................57682 943.6 (a) and (c) revised..........................................57682 960 Authority citation revised.....................................49330 [[Page 650]] 960.4 (a) amended..................................................49330 960.5 (a)(1) revised; (g) added....................................49330 Chapter XIV 1401 Added; interim................................................30778 Chapter XVI Chapter XVI Removed................................................66483 1617 Revised........................................................7663 Chapter XVIII Chapter XVIII Established; interim.................................54115 1996 12 CFR 61 FR Page Chapter I 1 Revised..........................................................63982 2 Revised..........................................................51781 3.6 (a) revised....................................................47367 3.100 (f) heading and (1) revised..................................60363 3 Appendix A corrected..............................................1273 Appendix B added...............................................47367 Appendix A amended.............................................60363 5 Revised..........................................................60363 5.23 Removed.......................................................19532 5.25 Removed.......................................................19532 5.32 Removed.......................................................19532 5.41 Removed.......................................................19532 5.43 Removed.......................................................19532 7 Revised...........................................................4862 7.1000 (a)(2)(i) amended; (c)(1) revised...........................60387 7.1021 Removed.....................................................63986 7.2023 Removed.....................................................60387 7.2024 Removed.....................................................60387 8.2 (a)(6) added; (b) redesignated as (b)(1); concluding text designated as (b)(2) and (3); (a)(5) and new (b)(3) amended....................................................64002 9 Revised; eff. 1-29-97............................................68554 12 Revised.........................................................63965 16.20 (d) revised..................................................60387 19 Authority citation revised...............................20334, 68559 19.1 (e)(9) amended; (f) redesignated as (g); (e)(11), (12) and new (f) added..............................................20334 19.6 (a)(3) revised................................................20334 19.8 (b) revised...................................................20334 19.11 (c)(2) and (d) revised.......................................20334 19.12 (a), (c)(1), (2) and (3) revised.............................20335 19.20 Revised......................................................20335 19.24 (a) and (b) revised..........................................20335 19.25 (a), (b), (e) and (g) revised................................20335 19.33 (a) revised..................................................20336 19.34 (a) and (b)(1) revised.......................................20336 19.35 (a)(3) redesignated as (a)(4); new (a)(3) added; (b) revised 20336 19.37 Heading and (a)(1) revised...................................20336 19.38 Revised......................................................20336 19.100 Revised.....................................................20337 19.112 (a), (b), (c) and (d)(3)(i) revised.........................20337 19.113 (a) and (b) revised; (c), (d) and (e) redesignated as (d), (e) and (f); new (c) added.................................20337 19.135 Added; eff. 1-29-97.........................................68559 19.160 (a) amended.................................................20337 19.161 Revised.....................................................20337 19.162 Removed.....................................................20338 19.170 (d) revised; (e) and (f) redesignated as (f) and (g); new (e) added..................................................20338 19.171 (b) revised.................................................20338 19.184 Revised.....................................................20338 20 Removed.........................................................19532 21 Heading revised..................................................4337 Authority citation revised......................................4337 21.11 (Subpart B) Revised...........................................4337 22 Revised.........................................................45702 23 Revised; eff. 1-17-97...........................................66560 24 Revised.........................................................49660 25.12 (h)(3) amended...............................................21363 26 Revised.........................................................40300 28 Revised.........................................................19532 28.2 (b) revised...................................................60387 28.10 Revised......................................................60387 28.11 (f) and (v) revised..........................................60387 30 Authority citation revised......................................43950 30 Appendix A amended..............................................43950 31 Authority citation revised.......................................4870 Revised........................................................54536 31.100--31.102 Undesignated center heading added....................4870 31.100 Added........................................................4870 31.101 Added........................................................4870 31.102 Added........................................................4870 34 Authority citation revised......................................11300 34.1--34.5 (Subpart A) Revised.....................................11300 34.20--34.25 (Subpart B) Revised...................................11301 34.81--34.87 (Subpart E) Revised...................................11301 Chapter II 201.51 Revised......................................................5926 202 Supplement I amended....................................50950, 50951 [[Page 651]] 204.2 (f)(1)(iii) revised; (f)(1)(iv) and (3) removed; (f)(1)(v) redesignated as (f)(1)(iv); (c)(1)(i) introductory text, (iv)(C), (E), (d)(2), new (f)(1)(iv)(C), new (E), (h)(1)(ii)(A), (2)(ii) and (t) amended; eff. 4-1-97........69025 204.3 (a)(3)(i), (ii) designation and (i)(5)(iv) removed; (f)(1) revised; (h)(1), (2), (i)(1)(ii) and (4)(ii) amended; eff. 4-1-97.....................................................69025 204.4 Revised; eff. 4-1-97.........................................69025 204.7 (a)(1) amended; eff. 4-1-97..................................69025 204.8 (a)(2)(i)(B)(5) and (3)(v) amended; eff. 4-1-97..............69025 204.9 (a) revised..................................................60173 (b) removed; (a)(1) and (2) redesignated as (a) and (b); eff. 4-1-97.............................................................69025 205.1 Revised......................................................19669 205.2 Revised......................................................19669 205.3 Revised......................................................19669 205.4 Revised......................................................19670 205.5 Revised......................................................19670 205.6 Revised......................................................19670 205.7 Revised......................................................19671 205.8 Revised......................................................19671 205.9 Revised......................................................19671 205.10 Revised.....................................................19672 205.11 Revised.....................................................19673 205.12 Revised.....................................................19674 205.13 Revised.....................................................19674 205.14 Revised.....................................................19674 205.15 Revised.....................................................19675 205 Appendixes A and B revised; Appendix C added...................19676 Supplement I revised...........................................19686 Supplement II removed..........................................19695 207 OTC margin stock lists.....................2667, 18495, 39556, 55555 Authority citation revised.....................................60166 207.114 Added......................................................60166 208 Authority citation revised..............................45704, 47369 208.8 (e) and Appendix A removed...................................45704 208.13 Revised.....................................................47369 208.20 Revised......................................................4343 208.23 Added.......................................................45704 208 Appendix D amended.............................................43951 Appendix A amended; Appendix E added...........................47370 211.8 Amended.......................................................4344 211.20 (b)(8) and (9) amended; (b)(10) added.......................39053 211.22 (a) revised; (c) removed; (d) redesignated as (c)...........24440 211.24 (a)(2)(i) and (ii) revised; (d)(3) redesignated as (d)(4); new (d)(3) added............................................2901 (f) amended.....................................................4344 (g) added......................................................39053 211.30 Added........................................................6921 212 Revised........................................................40302 213.1 Revised......................................................52258 213.2 Revised......................................................52258 213.3 Revised......................................................52259 213.4 Revised......................................................52259 213.5 Revised......................................................52260 213.6 Removed......................................................52258 213.7 Revised......................................................52261 213.8 Revised......................................................52261 213.9 Added........................................................52261 213 Appendix D removed.............................................52258 Appendix A revised.............................................52262 Appendixes B and C revised; Supplement I amended...............52269 215.2 (e)(2)(i) revised............................................57770 Regulation at 61 FR 57770 eff. date corrected to 11-8-96.......58782 215.4 (a) introductory text, (1) and (2) redesignated as (a)(1) introductory text, (i) and (ii); new (a)(1) heading and new (2) added..............................................57770 Regulation at 61 FR 57770 eff. date corrected to 11-8-96.......58782 218 Removed........................................................57289 218.101 Redesignated as 250.400....................................57289 218.102 Redesignated as 250.401....................................57289 218.103 Redesignated as 250.402....................................57289 218.104 Redesignated as 250.403....................................57289 218.105 Redesignated as 250.404....................................57289 218.106 Redesignated as 250.405....................................57289 218.107 Redesignated as 250.406....................................57289 218.108 Redesignated as 250.407....................................57289 218.109 Redesignated as 250.408....................................57289 218.110 Redesignated as 250.409....................................57289 218.111 Redesignated as 250.410....................................57289 218.112 Redesignated as 250.411....................................57289 218.113 Redesignated as 250.412....................................57289 218.114 Removed....................................................57289 219 Regulation at 60 FR 233 eff. date delayed to 5-28-96...........14382 219.1--219.7 (Subpart A) Regulation at 60 FR 233 eff. date delayed to 5-28-96.................................................14382 219.1 Regulation at 60 FR 233 eff. date delayed to 5-28-96.........14382 219.2 Regulation at 60 FR 233 eff. date delayed to 5-28-96.........14382 [[Page 652]] Revised........................................................29640 219.3 Revised......................................................29640 219.4 Revised......................................................29640 219.5 Revised......................................................29641 219.6 Revised......................................................29641 (b) corrected..................................................32317 219.7 Removed......................................................29641 219.21--219.24 (Subpart B) Regulation at 60 FR 233 eff. date delayed to 5-28-96.........................................14382 Authority citation revised.....................................58975 219.21 Amended.....................................................58975 220 OTC margin stock lists.....................2667, 18495, 39556, 55555 Authority citation revised.....................................60167 220.1 Revised......................................................20390 220.2 Revised......................................................20390 220.3 Revised......................................................20392 220.4 Revised......................................................20392 220.5 Revised......................................................20394 220.6 Revised......................................................20394 220.7 Revised......................................................20394 220.8 Revised......................................................20394 220.9 Revised......................................................20395 220.10 Revised.....................................................20395 220.11 Revised.....................................................20395 220.12 Revised.....................................................20395 220.13 Revised.....................................................20396 220.14 Revised.....................................................20396 220.15 Revised.....................................................20396 220.16 Revised.....................................................20396 220.17 Revised.....................................................20397 220.18 Revised.....................................................20397 220.19 Removed.....................................................20398 220.106 Removed....................................................20398 220.107 Removed....................................................20398 220.109 Removed....................................................20398 220.112 Removed....................................................20398 220.114 Removed....................................................20398 220.115 Removed....................................................20398 220.116 Removed....................................................20398 220.120 Removed....................................................20398 220.125 Removed....................................................20398 220.129 Removed....................................................20398 220.130 Removed....................................................20398 220.132 Added......................................................60167 221 OTC margin stock lists.....................2667, 18495, 39556, 55555 Authority citation revised.....................................60167 221.125 Added......................................................60167 224 OTC margin stock lists.....................2667, 18495, 39556, 55555 225.2 (q) added; interim...........................................56407 225.4 (f) amended...................................................4344 225.125 (g) revised................................................45875 225 Appendix A amended.............................................47372 Appendix E added...............................................47373 226 Adjustment notice........................................3177, 65317 226.2 (a)(6) revised...............................................49245 226.4 (a), (c)(7)(ii), (iii), (d) heading, (1) heading, introductory text and (i) revised; (c)(7)(iv) redesignated as (v); (b)(10), (c)(7) heading, new (iv), (d)(3) and (e)(3) added...............................................49245 226.17 (c)(2) redesignated as (c)(2)(i); (a)(1) Footnote 38, new (c)(2)(i) and (f) revised; (c)(2)(ii) added................49246 226.18 (d) Footnote 41 removed; (d)(1) and (2) added; (c) Footnotes 39 and 40 redesignated as (c) Footnotes 40 and 41; (n) revised............................................49246 226.19 (a)(2) revised..............................................49246 226.22 (a)(4) and (5) added........................................49246 226.23 (b) introductory text and (1) through (5) redesignated as (b)(1) introductory text and (i) through (v); (b)(2), (g) and (h) added..............................................49246 226.31 (d) and (g) revised.........................................49247 226 Supplement I amended...............14955, 14956, 14957, 14959, 49248 Appendix H amended.............................................49247 228.12 (h)(3) amended..............................................21363 229 Appendixes A and B amended.....................................25390 231.3 (a) introductory text revised.................................1274 245 Removed........................................................52876 250 Authority citation revised.....................................57289 250.161 (d) amended................................................19806 250.162 (a) amended................................................19806 250.242 Added......................................................19806 250.400--250.413 Undesignated center heading added.................57289 250.400 Redesignated from 218.101..................................57289 250.401 Redesignated from 218.102..................................57289 250.402 Redesignated from 218.103..................................57289 250.403 Redesignated from 218.104..................................57289 250.404 Redesignated from 218.105..................................57289 250.405 Redesignated from 218.106..................................57289 250.406 Redesignated from 218.107..................................57289 [[Page 653]] 250.407 Redesignated from 218.108..................................57289 250.408 Redesignated from 218.109..................................57289 250.409 Redesignated from 218.110..................................57289 250.410 Redesignated from 218.111..................................57289 250.411 Redesignated from 218.112..................................57289 250.412 Redesignated from 218.113..................................57289 250.413 Added......................................................57289 261.10 Appendix A amended; interim.................................60014 263 Authority citation revised..............................20341, 56407 263.1 (e)(9) amended; (f) redesignated as (g); (e)(11), (12) and new (f) added..............................................20341 263.6 (a)(3) revised...............................................20341 263.8 (b) revised..................................................20342 263.11 (c)(2) and (d) revised......................................20342 263.12 (a), (c)(1), (2) and (3) revised............................20342 263.20 Revised.....................................................20342 263.24 (a) and (b) revised.........................................20342 263.25 (a), (b), (e) and (g) revised...............................20343 263.33 (a) revised.................................................20343 263.34 (a) and (b)(1) revised......................................20343 263.35 (a)(3) redesignated as (a)(4); new (a)(3) added; (b) revised....................................................20343 263.37 Heading and (a)(1) revised..................................20344 263.38 Revised.....................................................20344 263.65 Added.......................................................56407 (b)(2) introductory text corrected.............................65318 264 Revised........................................................53830 265.6 (a)(1) revised...............................................13395 268.207 (e) revised..................................................252 268.301 (c)(3) amended.............................................13079 268.304 (a)(3)(i)(A) amended.........................................252 268.305 (c)(1) amended.............................................13079 268.506 Amended....................................................13079 Chapter III 303.7 (g) added.....................................................5930 308 Authority citation revised.......................20347, 48403, 57990 308.1 (e)(8) amended; (f) redesignated as (g) and revised; (e)(10), (11) and new (f) added............................20347 308.6 (a)(3) revised...............................................20347 308.8 (b) revised..................................................20347 308.11 (c)(2) and (d) revised......................................20347 308.12 (a), (c)(1), (2) and (3) revised............................20348 308.20 Revised.....................................................20348 308.24 (a) and (b) revised.........................................20348 308.25 (a), (b), (e) and (g) revised...............................20348 308.33 (a) revised.................................................20349 308.34 (a) and (b)(1) revised......................................20349 308.35 (a)(3) redesignated as (a)(4); new (a)(3) added; (b) revised....................................................20349 308.37 Heading and (a)(1) revised..................................20349 308.38 Revised.....................................................20350 308.116 (b)(4) added...............................................57990 308.132 (c)(2) revised; (c)(3) added...............................57991 308.400--308.402 (Subpart S) Added.................................48403 310 Nomenclature change............................................43419 310.1 Revised......................................................43419 310.3 (a) revised..................................................43419 310.4 (b) and (c) revised..........................................43419 310.6 Amended......................................................43420 310.9 (d) redesignated as (e); new (d) added.......................43420 310.10 (b)(6) and (10) revised; (b)(12) added; (c) removed; (d) and (e) redesignated as (c) and (d); new (c) and new (d) amended....................................................43420 310.11 (b) amended.................................................43420 310.13 Amended.....................................................43420 311.2 (a) revised; (b)(3) amended..................................38357 311.7 Amended......................................................38357 311.8 Heading revised; (d)(1) amended; (e) added...................38357 324 Removed; eff. 1-1-99...........................................33843 325 Appendix A amended.............................................47375 Appendix C added...............................................47376 327 Assessment rate schedules........................26078, 26083, 64609 Authority citation revised.....................................53839 327.3 (c)(1) amended...............................................67696 327.4 (a) introductory text amended; (a)(1)(i)(A), (ii)(A) and (c) revised....................................................67696 327.6 Heading and (a) revised......................................64983 327.8 (h) revised; (j) and (k) added...............................64983 (i) removed....................................................67696 327.9 Revised......................................................67696 327.10 Added.......................................................67698 327.32 (a)(2)(i)(A) and (3)(i) revised; (c) added..................53839 [[Page 654]] (a)(1), (2) and (4) introductory text revised; (a)(5) removed 64983 327.33 Added.......................................................64983 327.34 Added.......................................................64984 327.35 Added.......................................................64984 327.36 Added.......................................................64984 327.37 Added.......................................................64984 327.41--327.45 (Subpart C) Added...................................53839 336 Revised........................................................28728 339 Revised........................................................45706 342 Removed........................................................48403 345.12 (h)(3) amended..............................................21364 346.1 (a) amended; (o) revised; (s) through (v) added...............5674 346.6 Revised.......................................................5674 348 Revised........................................................40305 353 Revised.........................................................6099 359 Added...........................................................5930 363.1 (b) revised...................................................6493 363.4 (b) revised...................................................6493 363.5 (b) revised...................................................6493 363 Appendix A amended..............................................6494 364 Appendix A amended.............................................43951 366 Added; interim..................................................9596 367 Added; interim.................................................35117 Regulation at 61 FR 35117 confirmed; revised...................68559 Chapter V 500--517 (Subchapter A) Regulation at 60 FR 66715 eff. date corrected to 12-26-95........................................575 505.1 Regulation at 60 FR 66715 eff. date corrected to 12-26-95......575 505.2 Regulation at 60 FR 66716 eff. date corrected to 12-26-95......575 505.3 Regulation at 60 FR 66716 eff. date corrected to 12-26-95......575 505.4 Regulation at 60 FR 66716 eff. date corrected to 12-26-95......575 506.1 Regulation at 60 FR 66716 eff. date corrected to 12-26-95......575 (b) revised (OMB numbers)......................................65178 509 Authority citation revised.....................................20353 509.1 (e)(7) amended; (f) redesignated as (g); (e)(9), (10) and new (f) added; new (g) revised.............................20353 509.6 (a)(3) revised...............................................20354 509.8 (b) revised..................................................20354 509.11 (c)(2) and (d) revised......................................20354 509.12 (a), (c)(1), (2) and (3) revised............................20354 509.20 Revised.....................................................20354 509.24 (a) and (b) revised.........................................20354 509.25 (a), (b), (e) and (g) revised...............................20355 509.33 (a) revised.................................................20355 509.34 (a) and (b)(1) revised......................................20355 509.35 (a)(3) redesignated as (a)(4); new (a)(3) added; (b) revised....................................................20356 509.37 Heading and (a)(1) revised..................................20356 509.38 Revised.....................................................20356 509.102 (g)(2) revised.............................................20356 509.104 (h) removed; (i) redesignated as (h).......................20356 510 Authority citation revised.....................................56119 510.2 Regulation at 60 FR 66716 eff. date corrected to 12-26-95......575 510.6 Added........................................................56119 512.4 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575 512.5 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575 516.1 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575 516.3 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575 528--535 (Subchapter B) Regulation at 60 FR 66715 eff. date corrected to 12-26-95........................................575 541--558 (Subchapter C) Regulation at 60 FR 66715 eff. date corrected to 12-26-95........................................575 543.1 (b) amended..................................................64015 543.8 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575 543.11 Regulation at 60 FR 66717 eff. date corrected to 12-26-95 575 543.14 Amended.....................................................64015 544.1 Amended......................................................64015 544.2 (a)(2), (b)(4) and (c) revised; (b) introductory text amended....................................................64016 544.3 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575 Removed........................................................64016 [[Page 655]] 544.5 (b) amended; (b)(12) and (15) removed; (b)(5) through (11), (16), (17), (c)(1) introductory text, (i), (ii), (iii) and concluding text redesignated as (b)(6) through (12), (15), (16), (c)(1)(i) introductory text, (A), (B), (C) and (iii); (a), new (b)(6), new (7), new (8), new (11), new (15), new (16), new (c)(1)(i) introductory text, new (B), new (iii), (2) and (d) revised; (b)(1) through (4), new (10)(i), new (ii) and new (13) amended; new (b)(5), (c)(1)(ii) and (3) added...................................64016 544.8 Removed......................................................64017 Redesignated from 545.131......................................64018 544.9 Removed......................................................64017 544 Appendix removed...............................................64017 545.31 Removed.....................................................50971 545.32 Removed.....................................................50971 545.33 Removed.....................................................50971 545.34 Removed.....................................................50971 545.35 Removed.....................................................50971 545.36 Removed.....................................................50971 545.37 Removed.....................................................50971 545.38 Removed.....................................................50971 545.39 Removed.....................................................50971 545.40 Removed.....................................................50971 545.41 Removed.....................................................50971 545.42 Removed.....................................................50971 545.43 Removed.....................................................50971 545.45 Removed.....................................................50971 545.46 Removed.....................................................50971 545.47 Removed.....................................................50971 545.48 Removed.....................................................50971 545.49 Removed.....................................................50971 545.50 Removed.....................................................50971 545.51 Removed.....................................................50971 545.52 Removed.....................................................50971 545.53 Removed.....................................................50971 545.72 Removed.....................................................50971 545.73 Removed.....................................................50971 545.74 Regulation at 60 FR 66717 eff. date corrected to 12-26-95 575 (c)(1)(vi) revised.............................................50971 (a), (b), (c) heading and introductory text, (1), (2), (3), (4) heading, (ii)(F), (5), (6), (7), (d) and (e) removed; (c)(4)(i) introductory text, (A) through (E), (ii) introductory text, (A) through (E), (G), (iii) and (iv) redesignated as (a) introductory text, (1) through (5), (b) introductory text, (1) through (5), (6), (c) and (d); heading and new (a) introductory text revised; new (b) introductory text, new (1) and new (c) amended............................................................66570 545.75 Removed.....................................................50971 545.76 Removed.....................................................66571 545.77 Removed.....................................................66571 545.78 Removed.....................................................50971 545.80 Removed.....................................................66571 545.81 Removed.....................................................66571 545.82 Regulation at 60 FR 66717 eff. date corrected to 12-26-95 575 Removed........................................................66571 545.121 Regulation at 60 FR 66717 eff. date corrected to 12-26-95 575 545.126 Removed....................................................60178 545.131 Regulation at 60 FR 66717 eff. date corrected to 12-26-95 575 Redesignated as 544.8..........................................64018 550.2 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575 550.3 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575 550.10 Regulation at 60 FR 66717 eff. date corrected to 12-26-95 575 550.13 Regulation at 60 FR 66717 eff. date corrected to 12-26-95 575 550.14 Regulation at 60 FR 66717 eff. date corrected to 12-26-95 575 550.15 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 552.1 Removed......................................................64018 552.2 Removed......................................................64018 552.2-5 Removed....................................................64018 [[Page 656]] 552.3 Amended......................................................64018 552.4 (b)(3) removed; (b)(4), (5) and (6) redesignated as (b)(3), (4) and (5); (a)(1), (b) introductory text and new (4) amended; (a)(2), new (b)(3), new (5) and (c) revised; (b)(1) heading, (2) heading, (6) and (8) heading added.....64018 552.5 (a) amended; (b)(1) introductory text, (i), (ii) and concluding text redesignated as (b)(1)(i) introductory text, (A), (B) and (iii); new (b)(1)(i) introductory text, new (B), new (iii) and (2) revised; new (b)(1)(ii), (3) and (d) added..............................................64019 Regulation at 60 FR 66718 eff. date corrected to 12-26-95........575 552.6 (a), (b), (e) and (f)(1) amended; (d)(1) revised; (f)(3) removed; (h) added.........................................64020 552.6-1 (a), (c) and (e) amended; (b), (f) heading, (1) and (k) revised....................................................64020 552.6-2 (a) amended; (c) revised...................................64020 552.8 Removed......................................................64020 552.11 (b) amended.................................................64020 552 Regulation at 60 FR 66718 eff. date corrected to 12-26-95........575 Appendix removed...............................................64020 556.1 Removed......................................................64020 556.2 Removed......................................................50971 556.3 Removed......................................................50971 556.5 Regulation at 60 FR 66718 eff. date corrected to 12-26-95......575 556.10 Removed.....................................................50971 556.16 Removed.....................................................60178 556.17 Removed.....................................................64020 559 Added..........................................................66571 560 Added..........................................................50971 Authority citation revised.....................................60184 560.3 Amended; interim.............................................60184 560.30 Revised.....................................................66577 560.32 Added.......................................................66578 560.36 Added.......................................................66579 560.37 Added.......................................................66579 560.93 (a) revised.................................................66579 560.130 Added......................................................60178 561--575 (Subchapter D) Regulation at 60 FR 66715 eff. date corrected to 12-26-95........................................575 561.13 Tables amended..............................................65179 563 Authority citation revised...............................6105, 45709 563.7 (a) and (d)(2) amended.......................................65179 563.9 Regulation at 60 FR 66718 eff. date corrected to 12-26-95......575 563.35 Removed.....................................................60178 563.36 Added; interim..............................................60184 563.37 Removed.....................................................66579 563.38 Removed.....................................................66579 563.40 Removed.....................................................60178 563.41 (e)(2)(iii) redesignated as (e)(3); (e)(2)(i), (ii)(B) and new (3) amended............................................65179 (b)(4) revised.................................................66579 563.44 Removed.....................................................60178 563.48 Removed.....................................................45709 563.50 Removed; interim............................................60184 563.51 (f)(1)(i) amended...........................................50984 Removed; interim...............................................60184 563.52 Removed; interim............................................60184 563.93--563.101 (Subpart D) Removed................................50984 563.93 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 563.132 Removed....................................................66579 563.134 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 563.160 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 Removed........................................................50984 563.170 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 (c) revised....................................................50984 563.172 Removed....................................................50984 563.177 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 563.180 Heading and (d) revised.....................................6105 563.200 Added......................................................60178 563.201 Added......................................................60179 563b.2 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 563b.3 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 563b.4 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 563b.8 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 563b.29 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 [[Page 657]] 563c.3 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 563d.1 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 Amended........................................................65179 563d.2 Regulation at 60 FR 66718 eff. date corrected to 12-26-95 575 563e.12 (g)(3) amended.............................................21364 563f Revised.......................................................40308 565.9 Regulation at 60 FR 66719 eff. date corrected to 12-26-95......575 566.1 (g)(6)(i) amended............................................50984 566.2 Regulation at 60 FR 66719 eff. date corrected to 12-26-95......575 567.1 (l)(1) amended; (dd) revised.................................66579 567.3 Regulation at 60 FR 66719 eff. date corrected to 12-26-95......575 567.4 Regulation at 60 FR 66719 eff. date corrected to 12-26-95......575 567.10 Regulation at 60 FR 66720 eff. date corrected to 12-26-95 575 567.13 Regulation at 60 FR 66720 eff. date corrected to 12-26-95 575 570 Appendix A amended.............................................43952 571.4 Removed......................................................60179 571.6 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575 571.7 Removed......................................................60179 571.8 Removed......................................................50984 571.9 Removed......................................................60179 571.13 Regulation at 60 FR 66720 eff. date corrected to 12-26-95 575 Removed........................................................50984 571.20 Regulation at 60 FR 66720 eff. date corrected to 12-26-95 575 Removed........................................................50984 571.21 Removed.....................................................66579 571.22 Removed.....................................................50984 572 Added..........................................................45709 574.1 Revised; interim.............................................60184 574.2 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575 (q)(2)(ii) revised; (q)(3) added; interim......................60184 574.3 (c)(1)(iii) through (vii), (2)(iv) and (v) redesignated as (c)(1)(iv) through (viii), (2)(v) and (vi); (c)(1)(ii) and new (2)(v) amended; new (c)(1)(iii) and (2)(iv) added; (c)(2)(i) revised; interim.................................60184 Regulation at 60 FR 66720 eff. date corrected to 12-26-95........575 574.4 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575 574.6 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575 (c)(5) amended.................................................65179 574.7 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575 575 Heading revised; interim.......................................60184 575.2 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575 (h) revised; interim...........................................60184 575.9 (a)(1), (4) and (5) amended; (a)(2) revised..................64021 575.10 Regulation at 60 FR 66720 eff. date corrected to 12-26-95 575 575.11 Regulation at 60 FR 66720 eff. date corrected to 12-26-95 575 583--584 (Subchapter F) Regulation at 60 FR 66715 eff. date corrected to 12-26-95........................................575 583.10 Regulation at 60 FR 66720 eff. date corrected to 12-26-95 575 583.20 (b)(2) revised; (c) added; interim..........................60185 584.1 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575 584.2-2 Regulation at 60 FR 66720 eff. date corrected to 12-26-95 575 584.2a (e) removed; interim........................................60185 590--591 (Subchapter G) Regulation at 60 FR 66715 eff. date corrected to 12-26-95........................................575 590.4 (e)(1) amended...............................................50984 Chapter VI 600 Authority citation revised.....................................67185 600.5 (b) and (d)(1) amended; (d)(2) revised (effective date pending); interim..........................................67185 603 Authority citation revised.....................................67185 603.310 (b) amended (effective date pending); interim..............67185 611.1030 Amended (effective date pending); interim.................67185 [[Page 658]] 611.1135 (a), (b)(1), (2), (3)(v), (6), (7), (c), (d)(1) introductory text, (iv) and (2) revised; (e) removed (effective date pending); interim..........................67185 611.1140--611.1145 (Subpart J) Removed (effective date pending); interim....................................................67186 611.1155--611.1158 (Subpart K) Removed (effective date pending); interim....................................................67186 611.1160--611.1169 (Subpart L) Removed (effective date pending); interim....................................................67186 611.1170--611.1176 (Subpart M) Removed (effective date pending); interim....................................................67186 611.1180--611.1183 (Subpart N) Removed (effective date pending); interim....................................................67186 611.1190--611.1198 (Subpart O) Removed (effective date pending); interim....................................................67186 611.1200 (c) amended (effective date pending); interim.............67186 611.1250 (b) and (c) amended (effective date pending); interim.....67186 611.1255 Revised (effective date pending); interim.................67186 611.1266 (c) amended (effective date pending); interim.............67186 614.4321 Revised (effective date pending); interim.................67186 614.4367 (a)(4) and (c)(3) amended.................................11304 Regulation at 61 FR 11304 eff. 5-3-96..........................20125 614.4440 (h)(1) amended (effective date pending); interim..........67187 614.4444 Amended (effective date pending); interim.................67187 614.4510 (b) and (d)(4) removed; (c) and (d) redesignated as (b) and (c); introductory text, (a) and new (c) introductory text revised (effective date pending); interim.............67187 614.4515 Removed (effective date pending); interim.................67187 614.4516 Heading revised; introductory text added (effective date pending); interim..........................................67187 614.4517 (c) added (effective date pending); interim...............67187 614.4520 Removed (effective date pending); interim.................67187 614.4525 (c) and (d) amended (effective date pending); interim.....67187 614.4920--614.4960 (Subpart S) Revised.............................45711 615 Authority citation revised.....................................31394 615.5120 (a) amended (effective date pending); interim.............67187 615.5140 (a)(1) revised (effective date pending); interim..........67187 615.5143 Amended (effective date pending); interim.................67187 615.5230 Regulation at 60 FR 57921 eff. 1-2-96......................1274 615.5250 (e) revised (effective date pending); interim.............67187 615.5280 (a) through (e) revised (effective date pending); interim 67187 615.5290 (a) amended (effective date pending); interim.............67188 615.5450--615.5462 (Subpart O) Revised; interim....................67192 615.5500--615.5502 (Subpart P) Regulation at 60 FR 57919 confirmed 12015 615.5560 (c) revised; interim......................................67195 615.5570 (Subpart S) Added.........................................31394 (c) revised; interim...........................................67195 618.8260 Removed (effective date pending); interim.................67188 618.8310 (b)(1) amended (effective date pending); interim..........67188 618.8320 (b)(2) and (5) revised; (b)(9) removed; (b)(10) and (11) redesignated as (b)(9) and (10) (effective date pending); interim....................................................67188 618.8325 (c) amended (effective date pending); interim.............67188 618.8330 (a) designation and (b) removed (effective date pending); interim....................................................67188 618.8340 Removed (effective date pending); interim.................67188 618.8360 Removed (effective date pending); interim.................67188 618.8370 Removed (effective date pending); interim.................67188 618.8380--618.8420 (Subpart I) Removed (effective date pending); interim....................................................67188 619.9060 Revised (effective date pending); interim.................67188 [[Page 659]] 620.21 Regulation at 60 FR 57922 eff. 1-2-96........................1274 621.11 Regulation at 59 FR 50888 confirmed.........................18236 622 Authority citation revised.....................................54729 622.61 Added.......................................................54729 Chapter VII 701 Authority citation revised......................................4214 701.1 Revised (OMB number).........................................11726 Revised; interim...............................................59308 701.12 (a), (b) and (c) revised; (d) and (e) redesignated as (g) and (h); new (d), new (e) and (f) added....................41323 701.13 (a)(2) amended..............................................41326 701.21 (c)(7)(ii)(C) revised........................................4214 (d)(1) amended; (d)(4) introductory text revised...............68128 701.32 Heading, (a) and (b)(1) revised; (d) redesignated as 701.34(a); interim..........................................3790 Regulation at 61 FR 3790 confirmed.............................50697 701.34 (a) redesignated from 701.32(d); new (a)(1) amended; (b), (c) and Appendix added; interim.............................3790 (a)(1) revised.................................................50695 Regulation at 61 FR 3790 confirmed; (b)(2) and (c) revised.....50697 705 Authority citation revised.....................................50695 705.3 (b) amended..................................................45875 (b) revised....................................................50695 705.5 (b)(1) revised...............................................50695 705.7 (a) amended..................................................50696 705.10 Revised.....................................................50696 707 Reporting and recordkeeping requirements.........................114 707.1 (c) amended..................................................68129 707.3 OMB number.....................................................114 707.4 OMB number.....................................................114 707.5 OMB number.....................................................114 707.6 OMB number.....................................................114 707.7 OMB number.....................................................114 707.8 OMB number.....................................................114 707.9 OMB number.....................................................114 707 Appendix C amended.............................................68129 709.5 (b)(6) and (7) revised; (b)(8) added; (e) amended; interim 3791 Regulation at 61 FR 3791 confirmed.............................50697 711 Revised........................................................50702 741.204 (b) amended; (c) added; interim.............................3792 Regulation at 61 FR 3792 confirmed.............................50697 745 Authority citation revised.....................................60186 745.200 (b) and (d) revised........................................60186 747 Authority citation revised..............................28024, 57291 747.1 (c)(2) amended; (d) redesignated as (e); (c)(3) and new (e) revised; (c)(4) and new (d) added..........................28025 747.6 (a)(3) revised...............................................28025 747.8 (b) revised..................................................28025 747.9 (a) and (b) revised; (e) added...............................28025 747.11 (c)(2) and (d) revised......................................28025 747.12 (a), (c)(1), (2) and (3) revised............................28026 747.20 Revised.....................................................28026 747.24 (a) and (b) revised.........................................28026 747.25 (a), (b), (e) and (g) revised...............................28026 (b) amended....................................................45876 747.33 (a) revised.................................................28027 747.34 (a) and (b)(1) revised......................................28027 747.35 (a)(3) redesignated as (a)(4); new (a)(3) added; (b) revised....................................................28027 747.37 Heading and (a)(1) revised..................................28027 747.38 Revised.....................................................28027 747.1001 (Subpart K) Added.........................................57291 748 Heading revised................................................11527 Authority citation revised.....................................11527 748.1 (c) revised..................................................11527 760 Revised........................................................45713 790.2 (b)(5) revised; (b)(6)(i), (ii) and (7) amended..............45876 791.6 Revised......................................................55208 Chapter IX 900.12 Revised.....................................................68129 900.13 Revised.....................................................68130 900.14 Revised.....................................................68130 900.15 Revised.....................................................68130 900.16 Revised.....................................................68130 900.17 Revised.....................................................68130 900.18 Revised.....................................................68130 900.19 Revised.....................................................68130 900.20 Removed.....................................................68130 900.21 Removed.....................................................68130 902 Authority citation revised.....................................64614 902.6 Added; eff. 1-6-97...........................................64614 910 Authority citation revised.....................................64024 910.3 Revised; interim.............................................64024 912 Revised; interim...............................................64024 931 Authority citation revised.....................................40313 931.5 Revised......................................................40313 932.26 Added.......................................................43154 932.27 Revised.....................................................43154 933 Heading revised................................................42542 [[Page 660]] 933.1 (Subpart A) Revised..........................................42542 933.2--933.5 (Subpart B) Revised...................................42543 933.6--933.10 (Subpart C) Redesignated as 933.19--933.23 (Subpart D).........................................................42542 Added..........................................................42545 933.11--933.12 (Subpart D) Redesignated as 933.24--933.25 (Subpart E).........................................................42542 933.13--933.15 (Subpart E) Redesignated as 933.26--933.28 (Subpart F).........................................................42542 933.16 (Subpart F) Redesignated as 933.29 (Subpart G)..............42542 933.17 (Subpart G) Redesignated as 933.30 (Subpart H)..............42542 933.18 (Subpart H) Redesignated as 933.31 (Subpart I)..............42542 933.19 (Subpart I) Redesignated as 933.32 (Subpart J)..............42542 933.19--933.23 (Subpart D) Redesignated from 933.6--933.10 (Subpart C)................................................42542 933.20 (b)(1) and (2) amended......................................42549 933.22 (b)(1) amended..............................................42549 933.23 Amended.....................................................42549 933.24--933.25 (Subpart E) Redesignated from 933.11--933.12 (Subpart D)................................................42542 933.24 (a)(2) and (b)(2) amended...................................42549 933.25 (c), (d)(2)(ii)(A), (B), (iii) and (3) amended..............42549 933.26--933.28 (Subpart F) Redesignated from 933.13--933.15 (Subpart E)................................................42542 933.26 (c) amended.................................................42549 933.27 (e) amended.................................................42549 933.28 (b) amended.................................................42549 933.29 Redesignated from 933.16 (Subpart F)........................42542 (a)(1) amended.................................................42549 933.30 Redesignated from 933.17 (Subpart G)........................42542 Introductory text, (a) and (b) amended.........................42549 933.31 Redesignated from 933.18 (Subpart H)........................42542 (d) amended....................................................42549 933.32 (Subpart J) Redesignated from 933.19 (Subpart I)............42542 934 Authority citation revised.....................................55880 934.6 Revised......................................................55880 935.6 (d) added....................................................52687 941 Authority citation revised.....................................43155 941.7 (f)(2) revised...............................................43155 950 Revised; interim...............................................59314 Chapter XIV 1401.1 Regulation at 60 FR 30778 confirmed..........................4349 1411 Added.........................................................55079 Chapter XV 1511 Revised.......................................................66875 Chapter XVII 1750 Added.........................................................35620 Chapter XVIII 1805.104 (n) revised; interim.......................................1701 1805.201 Amended; interim...........................................1701 1805.600 Amended; interim...........................................1701 Corrected.......................................................7690 1805.604 Added; interim.............................................1701 1805.701 (d)(2)(iii) revised; (e)(3) introductory text amended; interim.....................................................1702 1806.103 (dd) added; interim........................................1702 (q) revised; interim...........................................59828 1806.200 (b)(2)(ii) revised; interim................................1702 1806.201 (b)(2) revised; (b)(4)(xii) and (xiii)(B) amended; (b)(4)(xiv) added; interim..................................1702 1806.202 (a) revised; (b)(2) and (3) amended; (b)(4) and (d) added; interim..............................................1702 Corrected.......................................................7690 (a) revised; interim...........................................59828 1806.205 (c)(1) revised; interim...................................59828 1806.206 (b)(1) and (4) revised; interim............................1702 1997 12 CFR 62 FR Page Chapter I 3 Appendix B amended; interim......................................68067 4 Authority citation revised........................................6452 4.6 Added; interim..................................................6452 8 Authority citation revised.......................................54745 8.2 (a)(6) and (b)(3) revised; (b)(4) added........................54745 (a)(7) and (b)(5) added........................................64137 8.6 Regulation at 59 FR 59642 confirmed............................54745 8.15 Removed.......................................................64137 12 Regulation at 60 FR 47458 confirmed.............................55458 13 Added...........................................................13283 19 Authority citation revised.......................................3199 [[Page 661]] 19.240--19.241 (Subpart O) Added....................................3200 25 Heading and authority citation revised..........................47734 25.11 (a)(1) revised...............................................47734 25.61--25.65 (Subpart E) Added.....................................47734 Chapter II 202.12 (b)(6) added; eff. 1-30-98..................................66419 202.15 Added; eff. 1-30-98.........................................66419 202 Supplement I added; eff. 1-30-98...............................66419 203.3 (a)(1)(ii) amended............................................3603 (a)(1)(ii) revised.............................................28623 203.5 (b) and (e) revised; (c) amended.............................28623 203 Appendix A and Supplement I amended.............................3604 Appendix A amended......................................28623, 28624 Supplement I amended....................................28626, 66260 Appendix A correctly amended...................................33340 204.3 (b) revised..................................................34616 (a), (b)(1), (2)(i) and (i) revised............................59778 204.9 Revised......................................................61622 205 Authority citation revised.....................................43469 205.15 (a) revised.................................................43469 207 OTC margin stock lists.....................3773, 22881, 40257, 55495 208 Authority citation revised........................6452, 13285, 47735 208.8 (k) removed...................................................9911 208.24 Added........................................................9911 208.25 Added.......................................................13285 208.26 Added; interim...............................................6452 208.28 Added.......................................................47735 208.129 Added......................................................13285 (b) corrected..................................................15601 208 Appendix E amended; interim.............................68067, 68068 209.15 Added.......................................................34616 210.2 (a) and (b) through (p), redesignated as (b) and (d) through (r); new (a) and (c) added; new (d), new (g) introductory text and (2) revised; eff. 1-2-98..........................48171 210.3(a) Amended; eff. 1-2-98......................................48171 210.4 Revised; eff. 1-2-98.........................................48171 210.5 (a)(1) and (c) revised; (d) amended; eff. 1-2-98.............48171 210.6 (a)(1) and (b) revised; eff. 1-2-98..........................48172 210.7 (c) introductory text and (d) revised; eff. 1-2-98...........48172 210.8 Revised; eff. 1-2-98.........................................48172 210.9 (a) through (e) redesignated as (b) through (f); new (a) added; new (b) and new (c) revised; new (f) amended; eff. 1-2-98.....................................................48172 210.10 Revised; eff. 1-2-98........................................48173 210.11(b) Amended; eff. 1-2-98.....................................48173 210.12 (a), (b), (c)(1) (f) and (h) revised; (d), (g) and (i) amended; eff. 1-2-98.......................................48173 211 Authority citation revised..............................13286, 47736 211.22(d) Added....................................................47736 211.24 Heading revised; (h) added..................................13286 213 Compliance date delay...................................51006, 53733 213.1(a) Revised...................................................15367 213.2(f) Amended...................................................15367 213.4 (b), (f)(1), (n), (o)(1) heading and (2) heading revised; (t) added..................................................15367 213.5(d)(1) Revised................................................15367 213.7 (d)(1)(ii) and (2)(iv) removed; (d)(1)(iii), (2)(v) and (vi) redesignated as (d)(1)(ii), (2)(iv) and (v); (b)(1), (d)(1)(i), (2)(ii), (iii), new (iv) and new (v) revised....15367 213 Appendix A amended.............................................15369 Supplement I revised...........................................16058 215.2 (d) introductory text, (1), (2) and (3) redesignated as (d)(1) introductory text, (i), (ii) and (iii); new (d)(2), new (3) and (e)(3) added...................................13298 215.4(a)(2) Introductory text revised..............................13298 217.101(a)(1) Amended; (b) added...................................26737 220 OTC margin stock lists.....................3773, 22881, 40257, 55495 221 OTC margin stock lists.....................3773, 22881, 40257, 55495 224 OTC margin stock lists.....................3773, 22881, 40257, 55495 225.1--225.7 (Subpart A) Revised....................................9319 225.11--225.17 (Subpart B) Revised..................................9324 225.21--225.28 (Subpart C) Revised..................................9329 225.24 (d)(2) revised; (d)(3) and (4) redesignated as (d)(4) and (5); new (d)(3) added......................................60640 225.25 (b)(1) revised..............................................60640 225.31 (d)(2)(ii) amended...........................................9338 225.32 Removed......................................................9338 [[Page 662]] 225.41--225.44 (Subpart E) Revised..................................9338 225.51 Removed......................................................9341 225.61--225.67 (Subpart G) Heading revised..........................9341 225.71--225.73 (Subpart H) Revised..................................9341 225.125 (f) and (g) revised.........................................9343 225.145 (a) amended.................................................9343 225.200 Undesignated center heading and section added..............45306 225 Appendix C revised..............................................9343 Appendix E heading revised; amended; interim...................68068 226.19 (b)(2)(viii) and (ix) revised; (b)(2)(x) removed; (b)(2)(xi), (xii) and (xiii) redesignated as (b)(2)(x), (xi) and (xii).............................................63443 226 Appendix H heading revised; amended............................63444 Appendix H corrected...........................................66179 Supplement I amended.......................10196-10199, 63445, 63446 229.2 (e) concluding text and (s) revised; (pp) redesignated as (qq); new (pp) added.......................................13809 229.13 (g)(1) introductory text and (ii)(A) amended; (g)(1)(i)(B), (E) and (h)(4) revised; (g)(1)(ii)(A) designation and (B) removed; (g)(4) redesignated as (g)(5); new (g)(4) added 13809 229.16 (c)(2)(i)(B) revised........................................13810 229.19 (a)(1) revised; (a)(5)(ii) amended..........................13810 229.30 (c) revised.................................................13810 229.34 Heading and (c)(4) revised; (f) added.......................13810 229.36 Heading and (e)(1)(ii) revised; (c) amended.................13810 229.39 (b) revised.................................................13810 229.42 Revised.....................................................13810 229.43 Added.......................................................13810 229 Appendix C amended......................................13811, 48752 Appendix E amended...............................13816, 13817, 13818 Appendix A amended.............................................26221 261 Authority citation revised.....................................54359 Authority citation corrected...................................62508 261.1--261.3 (Subpart A) Revised; interim..........................54359 261.1 (a)(1) corrected.............................................62508 261.10--261-17 (Subpart B) Revised; interim........................54361 261.11 Redesignated as 261.20; interim.............................54359 261.12 Redesignated as 261.21; interim.............................54359 (b)(3), (c)(3) and (4) corrected...............................62508 261.13 Redesignated as 261.22; interim.............................54359 261.14 Redesignated as 261.23; interim.............................54359 261.15--261.17 (Subpart D) Removed; interim........................54359 261.17 (f)(4) corrected............................................62508 261.20 Redesignated from 261.11; interim...........................54359 261.21 Redesignated from 261.12; interim...........................54359 261.22 Redesignated from 261.13; interim...........................54359 (b)(1) introductory text, (2) and (d) corrected................62508 261.23 Redesignated from 261.14; interim...........................54359 265.4 (a)(4) added.................................................14792 265.5 (f) added....................................................34617 265.6 (a)(5) removed...............................................45150 265.7 (c)(6) added.................................................64996 271 Revised........................................................61218 Chapter III 303.0 (b)(12) revised..............................................16664 304.1 Amended.......................................................4896 304.2 Revised.......................................................4896 304.3 Revised.......................................................4896 304.4 Revised.......................................................4896 304.5 Revised.......................................................4897 304 Appendix A revised..............................................4897 Appendix B removed..............................................4899 325.3 Regulation at 60 FR 45609 confirmed; (e) removed.............55493 325 Regulation at 60 FR 45609 confirmed............................55493 Appendix A corrected; CFR correction...........................60161 Appendix C amended; interim....................................68068 327.8 Introductory text added; (f) and (g) revised.................27176 327.9 (b) revised..................................................27176 327.41--327.45 (Subpart C) Removed.................................27177 329.103 (a)(1) amended; (e) added..................................40732 335 Revised.........................................................6856 337 Authority citation revised......................................6453 337.12 Added; interim...............................................6453 338 Authority citation revised.....................................36204 338.1 Revised......................................................36204 338.3 (a)(1) and (2) revised.......................................36204 [[Page 663]] 338.4 Heading and (a) revised......................................36204 338.5--338.9 (Subpart B) Heading revised...........................36204 338.5 Revised......................................................36204 338.6 Revised......................................................36204 338.7 Revised......................................................36204 338.8 Revised......................................................36204 338.9 Introductory text revised....................................36204 338.5--338.9 (Subpart B) Appendixes A and B removed................36204 344 Revised.........................................................9919 350.3 Revised......................................................10200 350.4 Revised......................................................10200 350.5 Revised......................................................10200 350.6 Revised......................................................10200 350.12 Revised.....................................................10201 363.3 (b) revised..................................................63257 363.4 (a) and (b) revised..........................................63257 363 Appendix A amended......................................63258, 63259 368 Added..........................................................13287 369 Added..........................................................47737 Chapter V 502 Authority citation revised......................................3780 502.1 (f) revised...................................................3780 506.1 (b) table amended (OMB numbers).......................54764, 66261 Regulation at 62 FR 66261 eff. date corrected to 12-18-97......67117 516 Authority citation revised.....................................64143 516.1-516.3 (Subpart A) Existing sections designated as Subpart A 64143 516.2 (c)(6) removed...............................................64143 516.3 (a)(1)(i), (b)(1)(i) and (c) revised..........................3780 516.50--516.80 (Subpart B) Added...................................64143 516.100--516.150 (Subpart C) Added.................................64144 516.160--516.190 (Subpart D) Added.................................64144 543.2 (g)(1)(iv), (v) and (vi) amended; (g)(2) removed; (g)(3) redesignated as (g)(2).....................................27180 (c) removed; (d)(1), (3), (4), (e), (f) and (h)(1) revised.....64145 543.3 Added........................................................27180 (c)(1)(v) corrected............................................28983 543.8 Heading and (a) revised......................................45309 543.9 (a) and (c) introductory text revised........................45309 544.5 (a) amended..................................................66262 Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117 545.10 Removed.....................................................54764 545.11 Removed.....................................................54764 545.12 Removed.....................................................54764 545.13 Removed.....................................................54764 545.14 Removed.....................................................54764 545.71 Removed.....................................................66262 Regulation at 62 FR 66261 eff. date corrected to 12-18-97......67117 545.92 (d), (e) heading, (2) and (f) revised; (i) and (j) removed 64145 545.95 (a) and (b)(1)(ii) revised..................................64146 545.102 Removed....................................................67703 550 Revised........................................................67703 552.2-1 (a) amended; (b)(2) removed................................27181 (a) revised....................................................64146 552.2-2 (a) revised................................................64146 552.4 (b)(4) amended...............................................66262 Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117 552.6-1 (c) amended................................................66262 Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117 552.10 Amended.....................................................66262 Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117 556.5 (c)(4) revised...............................................64146 556.12 Removed.....................................................54764 557 Added..........................................................54764 559.3 (g)(2) amended...............................................66262 Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117 560.3 Amended; introductory text revised...........................15825 560.93 (b)(6) removed; (d)(3)(ii) revised..........................66262 Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117 560.100 Amended....................................................66262 Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117 561.16 (a) amended.................................................54765 561.42 Amended.....................................................54765 561.45 Amended.....................................................66262 Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117 562.4 (b)(1) and (c)(2) revised.....................................3780 563 Authority citation revised......................................6453 563.2 Removed......................................................54765 563.3 Removed......................................................54765 563.6 Removed......................................................54765 563.7 Removed......................................................54765 563.9 Removed......................................................54765 563.10 Removed.....................................................54765 563.22 (e)(1), (4) and (f)(3) revised..............................64146 563.41 (e)(2)(ii)(A) revised........................................3781 (b)(11) amended................................................66262 [[Page 664]] Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117 563.81 (d)(1)(vi) and (3) amended..................................66262 Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117 563.134 (a)(3) revised; (a)(7), (8) and (9) amended................66263 Regulation at 62 FR 66263 eff. date corrected to 12-18-97......67117 563.171 Added; interim..............................................6453 563e.11 (c) revised................................................67708 563g.1 (a)(13) amended.............................................54765 565.2 (f) amended..................................................66263 Regulation at 62 FR 66263 eff. date corrected to 12-18-97......67117 565.4 (b)(2)(iii)(B), (3)(iii)(B) and (c)(2) revised................3781 566.1 (d), (g)(2), (3), (4)(i)(A), (B), (8), (9) and (10) revised; (g)(11)(i) amended; (g)(12) and (13) added; (h) removed....62512 566.2 Revised......................................................62513 567.1 Amended......................................................66263 Regulation at 62 FR 66263 eff. date corrected to 12-18-97......67117 567.2 (b) removed..................................................66263 Regulation at 62 FR 66263 eff. date corrected to 12-18-97......67117 567.5 (a)(1)(v), (2)(i), (v) and (c) revised; (a)(2)(vi) and (b)(4) amended.............................................66263 Regulation at 62 FR 66263 eff. date corrected to 12-18-97......67117 567.6 Regulation at 60 FR 45621 confirmed..........................55493 (a)(1)(iii)(D) revised.........................................66264 Regulation at 62 FR 66264 eff. date corrected to 12-18-97......67117 567.9 (c)(1) and (4) amended; (c)(3) revised.......................66264 Regulation at 62 FR 66264 eff. date corrected to 12-18-97......67117 567.12 (a) revised; (b) amended....................................66264 Regulation at 62 FR 66264 eff. date corrected to 12-18-97......67117 571.6 Removed......................................................27181 571.15 Removed.....................................................67708 574.9 (a)(5)(i)(A) revised..........................................3781 575.9 (a)(4) amended...............................................66264 Regulation at 62 FR 66264 eff. date corrected to 12-18-97......67117 Chapter VI 600.5 Regulation at 61 FR 67185 eff. 3-4-97........................18037 602 Authority citation revised.....................................41253 602.260 Revised (effective date pending)...........................41254 Regulation at 62 FR 41254 eff. 10-2-97.........................51593 602.261 (a) and (d) revised; (e) added (effective date pending)....41254 Regulation at 62 FR 41254 eff. 10-2-97.........................51593 603.310 Regulation at 61 FR 67185 eff. 3-4-97......................18037 611.1030 Regulation at 61 FR 67185 eff. 3-4-97.....................18037 611.1135 (b)(1) corrected..........................................13213 Regulation at 61 FR 67185 eff. 3-4-97..........................18037 611.1140--611.1145 (Subpart J) Regulation at 61 FR 67186 eff. 3-4- 97.........................................................18037 611.1155--611.1158 (Subpart K) Regulation at 61 FR 67186 eff. 3-4- 97.........................................................18037 611.1160--611.1169 (Subpart L) Regulation at 61 FR 67186 eff. 3-4- 97.........................................................18037 611.1170--611.1176 (Subpart M) Regulation at 61 FR 67186 eff. 3-4- 97.........................................................18037 611.1180--611.1183 (Subpart N) Regulation at 61 FR 67186 eff. 3-4- 97.........................................................18037 611.1190--611.1198 (Subpart O) Regulation at 61 FR 67186 eff. 3-4- 97.........................................................18037 611.1200 Regulation at 61 FR 67186 eff. 3-4-97.....................18037 611.1250 Regulation at 61 FR 67186 eff. 3-4-97.....................18037 611.1255 Regulation at 61 FR 67186 eff. 3-4-97.....................18037 611.1266 Regulation at 61 FR 67186 eff. 3-4-97.....................18037 613 Authority citation revised......................................4441 613.3000--613.3030 (Subpart A) Revised (effective date pending).....4441 Regulation at 62 FR 4441 eff. 3-11-97..........................11071 613.3100--613.3200 (Subpart B) Revised (effective date pending).....4442 Regulation at 62 FR 4442 eff. 3-11-97..........................11071 613.3100 (b)(1)(iv) corrected......................................33746 [[Page 665]] 613.3110--613.3120 (Subpart D) Removed (effective date pending).....4441 Regulation at 62 FR 4441 eff. 3-11-97..........................11071 613.3145--613.3175 (Subpart E) Redesignated as 626 (effective date pending)....................................................4441 Regulation at 62 FR 4441 eff. 3-11-97..........................11071 613.3200 Correctly designated......................................11071 613.3300 (Subpart C) Revised (effective date pending)...............4444 Regulation at 62 FR 4444 eff. 3-11-97..........................11071 614 Authority citation revised..............................63646, 66817 614.4000 (a) revised; (f) introductory text amended (effective date pending)..............................................51013 Regulation at 62 FR 51013 eff. 11-5-97.........................59780 614.4010 (d)(4) and (5) amended; (d)(6) and (7) added (effective date pending)...............................................4445 Regulation at 62 FR 4445 eff. 3-11-97..........................11071 (a) revised; (d)(1) and (2) amended (effective date pending) 51013 Regulation at 62 FR 51013 eff. 11-5-97.........................59780 614.4020 (a)(4) and (5) amended; (a)(6) and (7) added (effective date pending)...............................................4445 Regulation at 62 FR 4445 eff. 3-11-97..........................11071 (a)(1) and (2) amended (effective date pending)................51013 Regulation at 62 FR 51013 eff. 11-5-97.........................59780 614.4030 (a) revised (effective date pending)......................51013 Regulation at 62 FR 51013 eff. 11-5-97.........................59780 614.4040 (a) revised; (b) removed; (c) and (d) redesignated as (b) and (c); new (b)(1) amended (effective date pending).......51013 Regulation at 62 FR 51013 eff. 11-5-97.........................59780 614.4050 Introductory text added; (a) and (b) revised (effective date pending)..............................................51013 Regulation at 62 FR 51013 eff. 11-5-97.........................59780 614.4120 (a) amended (effective date pending)......................51014 Regulation at 62 FR 51014 eff. 11-5-97.........................59780 614.4135 Removed (effective date pending)..........................51014 Regulation at 62 FR 51014 eff. 11-5-97.........................59780 614.4140 Removed (effective date pending)..........................51014 Regulation at 62 FR 51014 eff. 11-5-97.........................59780 614.4145 Removed (effective date pending)..........................51014 Regulation at 62 FR 51014 eff. 11-5-97.........................59780 614.4150 Revised (effective date pending)..........................51014 Regulation at 62 FR 51014 eff. 11-5-97.........................59780 614.4155 Redesignated from 614.4280 and revised (effective date pending)...................................................66818 614.4160 Removed (effective date pending)..........................51014 Regulation at 62 FR 51014 eff. 11-5-97.........................59780 Redesignated from 614.4321 (effective date pending)............66818 614.4165 (a) revised; (b) and (c) removed; (d) and (e) redesignated as (b) and (c) (effective date pending).......51014 Regulation at 62 FR 51014 eff. 11-5-97.........................59780 614.4170 Removed (effective date pending)..........................51014 Regulation at 62 FR 51014 eff. 11-5-97.........................59780 614.4200 Revised (effective date pending)..........................51014 Regulation at 62 FR 51014 eff. 11-5-97.........................59780 614.4210 Removed (effective date pending)..........................51015 Regulation at 62 FR 51015 eff. 11-5-97.........................59780 614.4220 Removed (effective date pending)..........................51015 Regulation at 62 FR 51015 eff. 11-5-97.........................59780 614.4222 Removed (effective date pending)..........................51015 Regulation at 62 FR 51015 eff. 11-5-97.........................59780 [[Page 666]] 614.4230 Removed (effective date pending)..........................51015 Regulation at 62 FR 51015 eff. 11-5-97.........................59780 614.4231 Revised (effective date pending)..........................51015 Regulation at 62 FR 51015 eff. 11-5-97.........................59780 614.4233 Introductory text revised (effective date pending).........4445 Regulation at 62 FR 4445 eff. 3-11-97..........................11071 614.4245 (d) added (effective date pending)........................51015 Regulation at 62 FR 51015 eff. 11-5-97.........................59780 614.4270--614.4320 (Subpart G) Removed (effective date pending)....66818 614.4280 Redesignated as 614.4155 (effective date pending).........66818 614.4321 Regulation at 61 FR 67186 eff. 3-4-97.....................18037 Redesignated as 614.4160 (effective date pending)..............66818 614.4325 (a)(1) revised; (e) amended; (h) added (effective date pending)...................................................51015 Regulation at 62 FR 51015 eff. 11-5-97.........................59780 614.4335 Revised (effective date pending)..........................63646 614.4336 Revised (effective date pending)..........................63647 614.4355 (a)(6), (8) and (b)(1) amended (effective date pending) 51015 Regulation at 62 FR 51015 eff. 11-5-97.........................59780 614.4358 (a)(1)(ii) amended (effective date pending)...............51015 Regulation at 62 FR 51015 eff. 11-5-97.........................59780 614.4367 (b) removed; (c), (d) and (e) redesignated as (b), (c) and (d); eff. 1-2-98.......................................63647 614.4440 Regulation at 61 FR 67187 eff. 3-4-97.....................18037 614.4444 Regulation at 61 FR 67187 eff. 3-4-97.....................18037 614.4510 Regulation at 61 FR 67187 eff. 3-4-97.....................18037 614.4515 Regulation at 61 FR 67187 eff. 3-4-97.....................18037 614.4516 Regulation at 61 FR 67187 eff. 3-4-97.....................18037 Introductory text amended......................................25831 614.4517 Regulation at 61 FR 67187 eff. 3-4-97.....................18037 614.4520 Regulation at 61 FR 67187 eff. 3-4-97.....................18037 614.4525 Regulation at 61 FR 67187 eff. 3-4-97.....................18037 614.4610 Amended (effective date pending)...........................4445 Regulation at 62 FR 4445 eff. 3-11-97..........................11071 614.4700--614.4900 (Subpart Q) Heading amended (effective date pending)....................................................4445 Regulation at 62 FR 4445 eff. 3-11-97..........................11071 614.4700 (a) introductory text, (b) and (h) amended (effective date pending)...............................................4445 Regulation at 62 FR 4445 eff. 3-11-97..........................11071 614.4710 Introductory text, (a)(1) introductory text, (i), (ii), (3), (5), (b)(1) and (c) amended (effective date pending) 4445 Regulation at 62 FR 4445 eff. 3-11-97..........................11071 614.4720 Introductory text amended (effective date pending).........4445 Regulation at 62 FR 4445 eff. 3-11-97..........................11071 614.4800 Amended (effective date pending)...........................4445 Regulation at 62 FR 4445 eff. 3-11-97..........................11071 614.4810 (a) introductory text and (b) amended (effective date pending)....................................................4445 Regulation at 62 FR 4445 eff. 3-11-97..........................11071 (b) amended (effective date pending)...........................51015 Regulation at 62 FR 51015 eff. 11-5-97.........................59780 614.4900 (a) through (d) and (i) amended (effective date pending) 4445 Regulation at 62 FR 4445 eff. 3-11-97..........................11071 615 Authority citation revised......................................4445 615.5120 Regulation at 61 FR 67187 eff. 3-4-97.....................18037 615.5140 Regulation at 61 FR 67187 eff. 3-4-97.....................18037 [[Page 667]] 615.5143 Regulation at 61 FR 67187 eff. 3-4-97.....................18037 615.5200 (a) and (b) introductory text revised (effective date pending)....................................................4446 Regulation at 62 FR 4446 eff. 3-11-97..........................11071 615.5201 (g) amended; (j)(5) and (6) redesignated as (j)(6) and (7); new (j)(5) added (effective date pending)..............4446 Regulation at 62 FR 4446 eff. 3-11-97..........................11071 615.5205 Revised (effective date pending)...........................4446 Regulation at 62 FR 4446 eff. 3-11-97..........................11071 615.5210 (e)(7) and (f)(2)(i)(C) revised; (e)(10) added; (f)(2)(i)(D) and (v)(D) removed; (f)(2)(v)(E) redesignated as (f)(2)(v)(D) (effective date pending)....................4446 Regulation at 62 FR 4446 eff. 3-11-97..........................11071 615.5216 Removed (effective date pending)...........................4446 Regulation at 62 FR 4446 eff. 3-11-97..........................11071 615.5220 (f) removed; (g), (h) and (i) redesignated as (f), (g) and (h); (d), (e) and new (f) amended (effective date pending)....................................................4446 Regulation at 62 FR 4446 eff. 3-11-97..........................11071 615.5230 (b)(1) amended (effective date pending)....................4446 Regulation at 62 FR 4446 eff. 3-11-97..........................11071 (a)(2)(ii) revised.............................................49908 Regulation at 62 FR 49908 eff. 10-30-97........................58644 615.5240 (b) removed; introductory text and (a) redesignated as (a) and (b); new (a) and new (b)(2) revised; (b)(3) and (c) added (effective date pending)..........................4446 Regulation at 62 FR 4446 eff. 3-11-97..........................11071 615.5250 (c) removed; (d) and (e) redesignated as (c) and (d); (a)(4)(ii), (iii) and new (c)(3) amended (effective date pending)....................................................4447 Regulation at 62 FR 4447 eff. 3-11-97..........................11071 Regulation at 61 FR 67187 eff. 3-4-97..........................18037 615.5260 (a)(2)(i) and (ii) amended; (a)(2)(iii) and (d) removed (effective date pending)....................................4447 Regulation at 62 FR 4447 eff. 3-11-97..........................11071 615.5270 Amended (effective date pending)...........................4447 Regulation at 62 FR 4447 eff. 3-11-97..........................11071 615.5280 (a) corrected.............................................13213 Regulation at 61 FR 67187 eff. 3-4-97..........................18037 615.5290 Regulation at 61 FR 67188 eff. 3-4-97.....................18037 615.5301--615.5336 (Subpart K) Revised (effective date pending).....4447 Regulation at 62 FR 4447 eff. 3-11-97..........................11071 615.5301 (b)(2) corrected..........................................19219 615.5330 (b)(1) corrected..........................................11071 615.5350--615.5354 (Subpart L) Added (effective date pending).......4448 Regulation at 62 FR 4448 eff. 3-11-97..........................11071 615.5355--615.5361 (Subpart M) Added (effective date pending).......4449 Regulation at 62 FR 4449 eff. 3-11-97..........................11071 615.5450 (h) revised...............................................53229 615.5451 (c) revised...............................................53229 615.5452 Heading, (a)(1) introductory text and (2) revised.........53229 615.5454 (c)(1) revised............................................53229 615.5455 (a) revised...............................................53229 615.5457 (c)and (d) revised........................................53230 615.5460 (c) added.................................................53230 617 Revised (effective date pending)...............................24566 Regulation at 62 FR 24566 eff. 6-13-97.........................32478 618.8005 (a) and (b) amended (effective date pending)...............4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 618.8260 Regulation at 61 FR 67188 eff. 3-4-97.....................18037 618.8310 Regulation at 61 FR 67188 eff. 3-4-97.....................18037 618.8320 Regulation at 61 FR 67188 eff. 3-4-97.....................18037 (b)(5) revised.................................................25831 [[Page 668]] 618.8325 Regulation at 61 FR 67188 eff. 3-4-97.....................18037 618.8330 Regulation at 61 FR 67188 eff. 3-4-97.....................18037 618.8340 Regulation at 61 FR 67188 eff. 3-4-97.....................18037 618.8360 Regulation at 61 FR 67188 eff. 3-4-97.....................18037 618.8370 Regulation at 61 FR 67188 eff. 3-4-97.....................18037 618.8380--618.8420 (Subpart I) Regulation at 61 FR 67188 eff. 3-4- 97.........................................................18037 618.8440 (b)(6) amended (effective date pending)....................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9030 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9040 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9060 Regulation at 61 FR 67188 eff. 3-4-97.....................18037 619.9065 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9080 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9090 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9100 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9120 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9150 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9160 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9165 Removed (effective date pending)..........................51015 Regulation at 62 FR 51015 eff. 11-5-97.........................59780 619.9190 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9220 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9270 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9280 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9290 Removed (effective date pending)..........................51015 Regulation at 62 FR 51015 eff. 11-5-97.........................59780 619.9300 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 619.9310 Removed (effective date pending)...........................4450 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 620.1 (o), (p) and (q) redesignated as (p), (q) and (r); new (o) added (effective date pending).............................15092 Regulation at 62 FR 15092 eff. 5-6-97..........................24809 620.2 (a), (b)(3)(i) and (f) through (i) revised (effective date pending)...................................................15092 Regulation at 62 FR 15092 eff. 5-6-97..........................24809 620.4 (b) revised (effective date pending).........................15093 Regulation at 62 FR 15093 eff. 5-6-97..........................24809 620.5 (d)(1)(ix) and (g)(4)(ii) revised (effective date pending) 4451 Regulation at 62 FR 4450 eff. 3-11-97..........................11071 (g)(2)(vi) revised (effective date pending)....................15093 Regulation at 62 FR 15093 eff. 5-6-97..........................24809 [[Page 669]] 620.10--620.11 (Subpart C) Heading revised (effective date pending)...................................................15093 Regulation at 62 FR 15093 eff. 5-6-97..........................24809 620.10 Revised (effective date pending)............................15093 Regulation at 62 FR 15093 eff. 5-6-97..........................24809 620.15--620.17 (Subpart D) Added (effective date pending)..........15093 Regulation at 62 FR 15093 eff. 5-6-97..........................24809 620.20--620.21 (Subpart D) Redesignated as 620.20--620.21 (Subpart E) (effective date pending)................................15093 Regulation at 62 FR 15093 eff. 5-6-97..........................24809 620.20 (c) removed; (b) revised (effective date pending)...........15094 Regulation at 62 FR 15094 eff. 5-6-97..........................24809 620.30--620.31 (Subpart E) Redesignated as 620.30--620.31 (Subpart F) (effective date pending)................................15093 Regulation at 62 FR 15093 eff. 5-6-97..........................24809 620.40 (Subpart F) Redesignated as 620.40 (Subpart G) (effective date pending)..............................................15093 Regulation at 62 FR 15093 eff. 5-6-97..........................24809 626 Redesignated from 613.3145--613.3175 (Subpart E) (effective date pending)...............................................4441 Authority citation added........................................4451 Regulation at 62 FR 4441 eff. 3-11-97..........................11071 626.6025 (b) amended (effective date pending).......................4451 Regulation at 62 FR 4451 eff. 3-11-97..........................11071 630 Authority citation revised.....................................15094 630.3 (f) and (g) redesignated as (g) and (h); new (f) added (effective date pending)...................................15094 Regulation at 62 FR 15094 eff. 5-6-97..........................24809 650 Authority citation revised.....................................43635 650.50--650.68 (Subpart C) Added (effective date pending)..........43636 Regulation at 62 FR 43636 eff. 10-1-97.........................51369 Chapter VII Chapter VII Interpretive rulings...................................50245 701 Authority citation revised.....................................40930 701.1 Revised.......................................................5316 701.21 (c)(7)(ii)(C) revised.......................................40930 703 Revised........................................................33001 703.50 (a) amended; (c) added......................................64147 703.60 (c) revised.................................................64147 703.80 (a) introductory text amended...............................64147 703.100 (k)(2) amended.............................................64148 703.150 Amended....................................................64148 704 Revised........................................................12938 Compliance date delayed........................................64148 709.5 (b)(7) and (8) revised; (b)(9) added.........................12949 725.19 Revised; eff. 1-28-98.......................................67550 741.219 Added......................................................12949 790 Authority citation revised.....................................65197 790.2 (b)(4) revised................................................8155 (a) revised....................................................37126 (b)(7) and (8) amended.........................................65197 791.4 (a)(2) introductory text, (b) introductory text and (3) revised....................................................64267 791.5 (a)(2) revised...............................................64267 791.6 (a) revised..................................................64267 792 Authority citation revised...............................8156, 56054 792.2 (f) revised...................................................8156 792.4 (a) revised; (b)(3) removed..................................56054 792.40--792.49 (Subpart C) Revised.................................56054 Chapter IX 902 Authority citation revised.....................................35949 902.2 Revised......................................................35949 931 Authority citation revised.....................................26922 931.5 Revised; interim..............................................6861 Redesignated as 934.4..........................................26922 932 Authority citation revised.........................................9 932.40 Revised.........................................................9 932.41 Revised.........................................................9 934 Authority citation revised..............................26922, 65198 934.4 Redesignated as 934.5; new 934.4 redesignated from 931.5 and revised....................................................26922 934.5 Redesignated as 934.6; new 934.5 redesignated from 934.4.....26922 934.6 Redesignated as 934.7; new 934.6 redesignated from 934.5.....26922 [[Page 670]] 934.7 Redesignated as 934.8; new 934.7 redesignated from 934.6.....26922 934.8 Redesignated as 934.9; new 934.8 redesignated from 934.7.....26922 934.9 Redesignated as 934.10; new 934.9 redesignated from 934.8....26922 934.10 Redesignated as 934.11; new 934.10 redesignated from 934.9 26922 934.11 Redesignated as 934.12; new 934.11 redesignated from 934.10 26922 934.12 Redesignated as 934.13; new 934.12 redesignated from 934.11 26922 934.13 Redesignated as 934.14; new 934.13 redesignated from 934.12 26922 934.14 Redesignated as 934.15; new 934.14 redesignated from 934.13 26922 934.15 Redesignated from 934.14....................................26922 934.16 Added; eff. 1-12-98.........................................65198 935 Authority citation revised.....................................12079 935.1 Amended; interim.......................................8871, 12079 935.13 (a)(3) revised; interim......................................8871 (a)(3) revised; OMB number.....................................52015 935.20--935.24 (Subpart B) Revised.................................12079 936 Revised........................................................28988 936.5 (d)(1)(i) revised............................................46872 950 Regulation at 61 FR 59314 confirmed; revised...................50248 960 Revised........................................................41828 Interpretation.................................................66977 Chapter XIV 1402 Authority citation revised....................................49593 1402.13 Revised....................................................49593 1402.14 (a) and (d) revised; (e) added.............................49593 Chapter XVII 1780 Added.........................................................68154 Chapter XVIII 1805 Revised; interim..............................................16447 1806 Revised; interim.......................................10672, 64442 1998 12 CFR 63 FR Page Chapter I 3 Technical correction.............................................48571 3.100 (c)(2) revised; (e)(7) and (g)(2) amended....................42674 3 Appendix A amended........................................42674, 46521 4 Authority citation revised................................46120, 62929 4.6 Revised........................................................16380 Heading revised................................................46120 4.7 Added..........................................................46120 4.31 (a)(1) and (b)(1) revised; interim............................62929 4.32 (b)(1)(v) amended; (e) redesignated as (f); (b)(1)(vii) and new (e) added; interim.....................................62929 4.36 Redesignated as 4.37; new 4.36 added; interim.................62929 4.37 Redesignated as 4.38; new 4.37 redesignated from 4.36; new (a) revised................................................62929 4.38 Redesignated as 4.39; new 4.38 redesignated from 4.37.........62929 4.39 Redesignated as 4.40; new 4.39 redesignated from 4.38.........62929 4.40 Redesignated from 4.39........................................62929 6.2 (g) revised....................................................42674 9.101 Added.........................................................6473 10 Revised.........................................................29094 10.2 (c) corrected.................................................35309 (a) corrected..................................................71343 28.51 (e) and (f) removed; (g) and (h) redesignated as (e) and (f) 57048 28.53 Revised......................................................57048 30.2 Amended; interim..............................................55488 30.3 (a) revised; interim..........................................55488 30 Appendix B added; interim................................55484, 55485 32.2 (b) revised...................................................15746 32.3 (c)(4)(ii)(B) and (6)(ii)(B) amended..........................15746 32.4 Revised.......................................................15746 Chapter II 201.51 Revised..............................................56786, 66001 202 Appendixes A and C amended.....................................16394 203 Supplement I amended...........................................70997 203.1(a) Amended...................................................52142 203.3(a)(1)(ii) and (2)(ii) revised................................52142 203 Appendix A amended.......................................52143-- 52146 204.2(p) Removed...................................................64841 204.3(c) Revised...................................................15071 204.9 Revised......................................................65662 205.4(c) Added;interim.............................................14532 [[Page 671]] 205.11(c)(3) Revised...............................................52118 205 Appendix A amended.............................................52118 207 Removed.........................................................2820 OTC margin stock lists..........................................3804 208 Authority citation revised..............................37637, 46522 Technical correction...........................................48571 208.1--208.7 (Subpart A) Revised...................................37637 208.3 (c)(1)(ii) and (d)(1) Amended................................58620 208.6 (c)(1)(ii) Amended...........................................58621 208.20--208.25 (Subpart B) Revised.................................37641 208.26 Revised.....................................................16380 208.30--208.37 (Subpart C) Revised.................................37646 208.40--208.45 (Subpart D) Revised.................................37652 208.41(f) Revised..................................................42674 208.50--208.51 (Subpart E) Revised.................................37655 208.60--208.64 (Subpart F) Added...................................37655 208.100--208.101 (Subpart G) Added.................................37658 208 Appendixes A and B amended.....................................42675 Appendix A amended.............................................46522 Appendix D redesignated as D-1.................................55486 Appendix D-2 added; interim.............................55484, 55486 Appendix A, B and C amended....................................58621 209 Revised........................................................37663 211.2(u)(1) Amended................................................58621 211.8 Amended......................................................58621 211.22(d) Amended..................................................58621 211.24(f) and (h)Amended...........................................58621 211.26(c)Revised...................................................46121 213 Authority citation revised.....................................52109 213.4(f)(8) Revised................................................52109 213.7(d)(1)(ii) Revised............................................52109 213 Appendix A amended.............................................52110 Supplement I amended...........................................52115 215.3(a)(3) Amended................................................58621 216 Removed........................................................37665 220 OTC margin stock lists.....................3804, 23195, 40012, 57237 220.1 Revised.......................................................2820 220.2 Revised.......................................................2821 220.3 Revised.......................................................2822 220.4 Revised.......................................................2823 220.5 Revised.......................................................2824 220.6 Revised.......................................................2824 220.7 Revised.......................................................2824 220.8 Revised.......................................................2825 220.9 Revised.......................................................2826 220.10 Revised......................................................2826 220.11 Revised......................................................2826 220.12 Revised......................................................2827 220.13 Removed......................................................2827 220.14 Removed......................................................2827 220.15 Removed......................................................2827 220.16 Removed......................................................2827 220.17 Removed......................................................2827 220.18 Removed......................................................2827 220.126 Removed.....................................................2827 221 Revised.........................................................2827 OTC margin stock lists..........................................3804 224 Authority citation revised......................................2839 OTC margin stock lists.....................3804, 23195, 40012, 57237 224.1 (a) and (b)(1) amended........................................2839 224.2 Introductory text amended.....................................2839 224.3 Revised.......................................................2839 225 Authority citation revised..............................30370, 46522 Technical correction...........................................48571 225.4 (d) and (f) amended..........................................58621 (d) corrected..................................................65281 225.63 (a)(11) amended; (a)(12) redesignated as (a)(13); new (a)(12) added..............................................65532 225.200 (b)(4)(i) revised..........................................14804 225 Appendix D amended.............................................30370 Appendixes A and D amended.....................................42676 Appendix A amended......................................46522, 58621 226 Dollar amount adjustment notice..........................6474, 67575 226 Appendix H corrected............................................2723 Supplement I amended.....................................16674-- 16678 Supplement I corrected.........................................33990 230.4 (b)(6)(iii) amended..........................................40637 230.5 (c) removed; (d) redesignated as (c).........................52107 230.8 (c)(6)(iii) revised..........................................40638 (e)(2)(i) revised..............................................52107 230.9 (b) revised..................................................52107 230 Supplement I amended...........................................52107 230 Appendix A amended.............................................40638 250.120 Removed....................................................37659 250.121 Removed....................................................37659 250.122 Removed....................................................37659 250.123 Removed....................................................37659 250.140 Removed....................................................37659 250.161 Removed....................................................37659 250.162 Removed....................................................37659 250.300--250.302 Undesignated center heading and sections removed 37659 [[Page 672]] 262.3 (b)(1)(i)(A) and (C) removed; (b)(1)(i)(B), (D) and (E) redesignated as (b)(1)(i)(A), (B) and (C)..................58621 263.201 (a)amended.................................................58621 263.203 (a)(1)(i)(A) amended.......................................58621 263.205 (b)(2) amended.............................................58621 263.302 (a) revised; interim.......................................55488 265.7 (f)(6)(i) and (ii) amended...................................58621 265.9 (a) introductory text, (1), (c)(1), (4) and (5) revised; (a)(8) and (d) through (g) added...........................65044 265.11 (f) revised..................................................2839 (a)(7) amended.................................................58621 (e)(1), (3), (4) introductory text, (5) introductory text, (7) and (12) revised; (e)(8) amended...................................58622 Chapter III Chapter III Policy statement.......................................25157 303 Revised........................................................44713 Authority citation revised.....................................66324 303.2 (a) introductory text amended................................17074 303.5 (d) removed..................................................17074 303.6 (f)(1)(ii)(A) and (C) revised................................17074 303.7 (a) heading, (1)(i), (ii)(A), (iii)(D) and (b)(4)(ii) revised; (f)(2)(i) amended; (f)(2)(ii) removed.............17074 303.8 (f) removed..................................................17074 303.120--303.123 (Subpart G) Added.................................66325 303.140--303.143 (Subpart H) Revised...............................66325 309.1 Revised......................................................16404 309.2 (e) revised..................................................16404 309.4 Revised......................................................16404 309.5 Revised......................................................16404 309.6 Amended......................................................16408 325 Authority citation revised.....................................42677 Technical correction...........................................48571 325.2 (n) revised; (s), (t) and (v) amended........................42677 325.5 (f) revised; (g)(2)(i)(B) and (5) amended....................42677 325.103 (c) revised................................................17074 325 Appendix A amended......................................42677, 46523 Appendix B amended.............................................42678 326.1 (c) amended..................................................17075 326.8 (a) and Footnote 3 revised...................................17075 327 Authority citation revised.....................................17075 327.1 (b)(2) revised...............................................17075 327.4 (a)(1)(i)(B)(1), (2), (ii)(B)(1) and (2) revised.............17075 329.3 Added.........................................................8342 330 Revised........................................................25756 333.4 (a), (d)(2) and (3) amended; (b) and (d)(4) removed; (c) through (f) redesignated as (b) through (e)................44750 337 Authority citation revised.....................................44750 337.4 (i) added....................................................66326 337.6 (a)(5)(iii) revised; (c) amended; (d), (e) and (f) removed; (g) and (h) redesignated as (d) and (e)....................44750 337.12 Revised.....................................................16381 341.7 Added........................................................44750 346 Removed........................................................17075 347 Revised........................................................17075 347.214 Added......................................................46121 347.401--347.405 (Subpart D) Removed...............................44751 351 Removed........................................................17090 357 Authority citation revised.....................................10295 357.1 (b) revised..................................................10295 359.6 Revised......................................................44751 360.1 (b) revised..................................................37761 360.2 (e) revised..................................................37761 362 Revised........................................................66326 362.4 (c)(3)(i)(A) revised.........................................17090 364.101 Revised; interim...........................................55488 364 Appendix B added; interim...............................55484, 55486 Chapter V 502 Revised........................................................65670 506.1 (b) revised (OMB numbers)....................................71211 528.1 (a) amended..................................................71212 528.1a Revised.....................................................71212 528.2 Note revised.................................................71212 528.2a Note revised................................................71212 528.3 Note revised.................................................71212 528.9 Redesignated from 571.24.....................................71212 544.2 (b)(4) amended...............................................46160 545.92 (a) revised.................................................65682 545.138 Removed....................................................65682 545.141 Removed....................................................65682 545.142 Removed....................................................65682 555 Added..........................................................65682 557.11 Heading and (a) introductory text revised...................71212 559.3 (o)(2) revised...............................................65683 560.210 (b)(2) introductory text, (viii) and (ix) revised; (b)(2)(x) removed; (b)(2)(xi), (xii) and (xiii) redesignated as (b)(2)(x), (xi) and (xii); interim..........1053 Revised........................................................38463 563 Authority citation revised.....................................51274 [[Page 673]] 563.41 (a)(3) revised..............................................43293 563.171 Revised....................................................16381 563.172 Added......................................................66349 563.173 Removed....................................................66349 563.174 Removed....................................................66349 563.175 Removed....................................................66349 563.550--563.590 (Subpart H) Added.................................51274 563f.2 (l)(1)(iii) revised.........................................51275 563f.5 (b)(2)(i) and (ii) revised..................................51275 563f.6 (b)(1) and (2) revised......................................51275 565.2 (f) revised..................................................42678 566.1 (d) amended..................................................71213 567 Technical correction...........................................48571 567.1 Amended......................................................42678 567.5 (a)(2)(ii) revised...........................................42678 (b)(5) added...................................................46524 567.6 (a)(1)(iv)(L) and (M) revised................................42678 567.9 (c)(1) revised...............................................42678 567.12 Heading and (a) through (f) revised.........................42678 570.1 (a) and (c) revised; (b) amended; interim....................55488 570.2 (a) revised; interim.........................................55489 570 Appendix B added; interim...............................55484, 55486 571 Removed........................................................71213 571.24 Redesignated as 528.9.......................................71212 574 Authority citation revised.....................................51275 574.9 Removed......................................................51275 574.100 Amended....................................................71213 575.2 (h) and (o) revised; (q) added...............................11365 575.6 (c) through (i) redesignated as (d) through (j); new (c) added......................................................11365 575.10 (a)(2) introductory text, (3), (4) and (b)(1) amended; (a)(6)(i)(B) revised.......................................11365 575.11 (b)(1) introductory text (2), (c) introductory text, (1), (3) and (e) revised; (b)(1)(ii) redesignated as (b)(1)(iii); new (b)(1)(ii) added..........................11365 575.12 (a)(2), (b)(1)(ii), (iii) and (2) revised...................11366 575.14 Added.......................................................11366 584.2 (b)(6)(i) revised............................................71213 584.2-1 (a) and (b)(1)(v) amended..................................71213 584.2-2 (a) amended................................................71213 ChapterVI 607 Authority citation revised.....................................34268 607.2 (c) revised (effective date pending).........................34268 607.3 (b)(2) amended (effective date pending)......................34268 Regulation at 63 FR 34268 eff. 8-3-98..........................41184 611 Authority citation revised.....................................64843 611.310--611.340 (Subpart C) Heading revised (effective date pending)...................................................64843 611.330 Revised (effective date pending)...........................64843 611.340 Heading, (a) and (b) amended; (c) and (d) revised (effective date pending)...................................64843 611.350 Added (effective date pending).............................39225 Regulation at 63 FR 39225 eff. 9-14-98.........................49265 611.505 (e) revised................................................64844 611.1122 (k) revised...............................................64844 611.1135 (b)(4) and (c) revised (effective date pending)...........39225 Regulation at 63 FR 39225 eff. 9-14-98.........................49265 611.1205 (c) revised (effective date pending)......................36547 Regulation at 63 FR 36547 eff. 8-6-98..........................41958 614.4000 (b) amended (effective date pending).......................5723 Regulation at 63 FR 5723 eff. 3-13-98..........................12401 614.4010 (b) amended (effective date pending).......................5723 Regulation at 63 FR 5723 eff. 3-13-98..........................12401 614.4120 Revised (effective date pending)...........................5724 Regulation at 63 FR 5724 eff. 3-13-98..........................12401 614.4125 Added (effective date pending).............................5724 Regulation at 63 FR 5724 eff. 3-13-98..........................12401 614.4130 Revised (effective date pending)...........................5724 Regulation at 63 FR 5724 eff. 3-13-98..........................12401 614.4155 Regulation at 62 FR 66818 eff. 3-4-98.....................10515 614.4160 Regulation at 62 FR 66818 eff. 3-4-98.....................10515 614.4280 Regulation at 62 FR 66818 eff. 3-4-98.....................10515 614.4270--614.4320 (Subpart G) Regulation at 62 FR 66818 eff. 3-4- 98.........................................................10515 [[Page 674]] 614.4321 Regulation at 62 FR 66818 eff. 3-4-98.....................10515 614.4335 Regulation at 62 FR 63646 eff. 3-4-98.....................10515 614.4336 Regulation at 62 FR 63647 eff. 3-4-98.....................10515 614.4350 (a) revised (effective date pending)......................36547 Regulation at 63 FR 36547 eff. 8-6-98..........................41958 614.4367 Regulation at 62 FR 63647 eff. 3-4-98.....................10515 614.4540--614.4600 (Subpart P) Revised (effective date pending)....36547 Regulation at 63 FR 36547 eff. 8-6-98..........................41958 615.5135 Introductory text amended (effective date pending)........39225 Regulation at 63 FR 39225 eff. 9-14-98.........................49265 615.5180--615.5182 (Subpart G) Added (effective date pending)......39225 Regulation at 63 FR 39225 eff. 9-14-98.........................49265 615.5201 (h) amended; (d) through (n) redesignated as (e) through (i), (k), (l) and (n) through (q); new (d), new (j) and new (m) added (effective date pending).....................39225 Regulation at 63 FR 39225 eff. 9-14-98.........................49265 615.5210 (a), (b), (e) introductory text, (1), (6), (10), (f)(2)(i), (ii), (iii) heading, (iv), (3)(ii)(A) and (iii) revised; (e)(11) added; (f)(2)(v) removed (effective date pending)...................................................39226 Regulation at 63 FR 39226 eff. 9-14-98.........................49265 (f)(3)(ii)(C)(2) corrected.....................................58289 615.5220 Introductory text and (a) through (h) redesignated as (a) introductory text and (1) through (8); new (b) added (effective date pending)...................................39227 Regulation at 63 FR 39227 eff. 9-14-98.........................49265 615.5230 (b)(5) added (effective date pending).....................39228 Regulation at 63 FR 39228 eff. 9-14-98.........................49265 615.5260 (a)(3)(ii) revised (effective date pending)...............39228 Regulation at 63 FR 39228 eff. 9-14-98.........................49265 615.5301 (a), (b)(1)(ii), (iii), (2)(ii), (3), (4), (5), (i)(2), (3), (4) and (7) revised (effective date pending)..........39228 Regulation at 63 FR 39228 eff. 9-14-98.........................49265 615.5330 Revised (effective date pending)..........................39228 Regulation at 63 FR 39228 eff. 9-14-98.........................49265 615.5335 Revised (effective date pending)..........................39229 Regulation at 63 FR 39229 eff. 9-14-98.........................49265 615.5350 (b)(7) added (effective date pending).....................39229 Regulation at 63 FR 39229 eff. 9-14-98.........................49265 615.5355 (a)(4) revised (effective date pending)...................39229 Regulation at 63 FR 39229 eff. 9-14-98.........................49265 615.5450 Regulation at 62 FR 53229 eff. 1-27-98.....................5223 615.5451 Regulation at 62 FR 53229 eff. 1-27-98.....................5223 615.5452 Regulation at 62 FR 53229 eff. 1-27-98.....................5223 615.5454 Regulation at 62 FR 53229 eff. 1-27-98.....................5223 615.5455 Regulation at 62 FR 53229 eff. 1-27-98.....................5223 615.5457 Regulation at 62 FR 53230 eff. 1-27-98.....................5223 615.5460 Regulation at 62 FR 53230 eff. 1-27-98.....................5223 620.1 (j) amended (effective date pending).........................39229 Regulation at 63 FR 39229 eff. 9-14-98.........................49265 620.5 Amended (effective date pending).............................36549 (d)(2), (g)(4)(v) and (vi) amended; (f)(3) revised; (f)(4) added (effective date pending).....................................39229 Regulation at 63 FR 36549 eff. 8-6-98..........................41958 Regulation at 63 FR 39229 eff. 9-14-98.........................49265 627 Heading revised (effective date pending)........................5724 Authority citation revised......................................5724 [[Page 675]] Regulation at 63 FR 5724 eff. 3-13-98..........................12401 627.2700 Revised (effective date pending)...........................5724 Regulation at 63 FR 5724 eff. 3-13-98..........................12401 627.2710 (b)(1) and (3) revised (effective date pending)...........39229 Regulation at 63 FR 39229 eff. 9-14-98.........................49265 627.2720 (a) removed; (b) through (f) redesignated as (a) through (e); new (b) revised (effective date pending)...............5724 Regulation at 63 FR 5724 eff. 3-13-98..........................12401 627.2730 (b) removed; (c) redesignated as (b); new (b) revised (effective date pending)....................................5724 Regulation at 63 FR 5724 eff. 3-13-98..........................12401 627.2795--627.2797 (Subpart D) Added (effective date pending).......5725 Regulation at 63 FR 5725 eff. 3-13-98..........................12401 630.20 (a)(1)(v) amended (effective date pending)..................36549 Regulation at 63 FR 36549 eff. 8-6-98..........................41958 Chapter VII Interpretive rulings...............................................24099 701 Comment period extension.......................................65532 701.1 Revised................................................4373, 72018 701.19 (a) amended; interim........................................14026 (a) amended....................................................52147 701.21 (c)(5) amended; (h) removed; interim........................51799 (g)(7) added; eff. 1-25-99.....................................71214 701.23 (b)(1)(iv) amended; (b)(3) revised..........................70998 701.26 (a) designation and (b) removed.............................10756 701.27 Removed.....................................................10756 701.29 (g)(7) added; eff. 1-25-99..................................71214 701.36 (b)(4)(iv) amended..........................................10756 (b)(4)(iv) corrected...........................................71342 703.30 (g) removed; (h) through (l) redesignated as (g) through (k)........................................................24104 703.50 Regulation at 62 FR 64147 confirmed.........................24104 (b)(2) revised.................................................24105 703.60 Regulation at 62 FR 64147 confirmed.........................24104 703.80 Regulation at 62 FR 64147 confirmed.........................24104 703.100 Regulation at 62 FR 64148 confirmed........................24104 (e) revised....................................................24105 703.130 Revised....................................................24105 703.150 Regulation at 62 FR 64148 confirmed........................24104 704.5 (c)(6) revised...............................................24105 704.11 (e) amended.................................................10756 704 Appendix B amended.............................................24105 707.4 (b)(6)(iii) amended..........................................71574 707.5 (c) removed; (d) designated as new (c).......................71574 707.8 (c)(6)(iii) added; (e)(2)(i) revised.........................71575 707.9 (b) revised..................................................71575 707 Appendix A amended.............................................71575 Appendix B amended.............................................71575 Appendix C amended.............................................71575 708a Heading and authority citation revised........................10517 Revised; interim...............................................65532 708a Appendix A amended............................................10517 708b.301 (a)(1) and (b)(1) amended.................................10519 708b.302 (a)(1), (2), (b)(1) and (2) amended.......................10519 712 Added..........................................................10756 722 Comment period extension.......................................65532 722.3 (a)(7) and (8)(ii) amended; (a)(9) added; interim............51799 723 Added; interim.................................................51799 Comment period extension.......................................65532 724 Authority citation revised..............................14026, 52147 724.1 Amended; heading revised; interim............................14026 Heading revised; amended.......................................52147 741 Comment period extension.......................................65532 741.203 (a) amended; interim.......................................51802 791.5 (a)(2) revised................................................5859 791.6 (a) amended...................................................5859 792 Authority citation revised.....................................14338 792.01--792.32 (Subpart A) Revised.................................14338 792.20--792.37 (Subpart B) Redesignated as 792.52--792.69 (Subpart E).........................................................14338 792.52--792.69 (Subpart E) Redesignated from 792.20--792.37 (Subpart B);...............................................14338 Chapter IX 900 Authority citation revised......................................3455 [[Page 676]] 900.1--900.5 (Subpart A) Appendix A amended.........................3455 900.51 Amended.....................................................65687 904 Revised; interim...............................................37485 910.3 Revised.......................................................8059 912 Revised.........................................................8059 922 Removed........................................................65687 931.5 Redesignated from 931.11.....................................65687 931.6 Redesignated from 931.12.....................................65687 931.11 Redesignated as 931.5.......................................65687 931.12 Redesignated as 931.6.......................................65687 931.13 Removed.....................................................65687 931.14 Removed.....................................................65687 931.15 Removed.....................................................65687 931.16 Removed.....................................................65687 931.17 Removed.....................................................65687 931.18 Removed.....................................................65687 931.19 Removed.....................................................65687 931.20 Removed.....................................................65687 931.21 Removed.....................................................65687 931.23 Removed.....................................................65687 931.24 Removed.....................................................65687 931.25 Removed.....................................................65687 931.26 Removed.....................................................65687 931.30 Removed.....................................................65687 931.32 Removed.....................................................65687 931.34 Removed.....................................................65687 931.36 Removed.....................................................65687 931.38 Removed.....................................................65687 931.40 Removed.....................................................65687 932 Authority citation revised...............................3455, 65688 Heading revised................................................65687 932.1--932.2 Designated as Subpart A; heading added................65688 932.1 Revised......................................................65688 932.2 Added........................................................65688 932.3--932.17 Designated as Subpart B; heading added...............65688 932.3 Redesignated as 934.17.......................................65687 Added..........................................................65688 932.4 Added........................................................65689 932.5 Added........................................................65689 932.6 Added........................................................65689 932.7 Added........................................................65689 932.8 Revised......................................................65690 932.9 Revised......................................................65690 932.10 Revised.....................................................65690 932.11 (b) revised..................................................3455 Revised........................................................65690 932.12 Revised.....................................................65691 932.13 Revised.....................................................65691 932.14 Revised.....................................................65691 932.15 Removed; new 932.15 redesignated from 932.20 and amended....65692 932.16 Removed; new 932.16 redesignated from 932.26................65692 932.17 Redesignated from 932.27....................................65692 932.18--932.19 Designated as Subpart C; heading added..............65692 932.18 Removed; new 932.18 redesignated from 932.40; heading and (a) introductory text revised; (d) removed.................65692 932.19 Removed; new 932.19 redesignated from 932.41; heading revised....................................................65692 932.20 Redesignated as 932.15......................................65692 932.21 Removed.....................................................65692 932.22 Removed.....................................................65692 932.23 Removed.....................................................65692 932.26 Redesignated as 932.16......................................65692 932.27 Redesignated as 932.17......................................65692 932.28 Removed.....................................................65692 932.29 Removed.....................................................65692 932.40 (d) revised.................................................30587 Redesignated as 932.18.........................................65692 932.41 (b)(2) and (c)(3)(ii) revised; (c)(3)(iv) added; (a) and (d) amended; (f) removed; (g) redesignated as (f)..........30587 (c)(2)(ii) amended.............................................65544 Redesignated as 932.19.........................................65692 932.43 Removed.....................................................65692 932.50 Removed.....................................................65692 932.51 Removed.....................................................65692 932.60 Removed.....................................................65692 932.61 Removed.....................................................65692 932.62 Removed.....................................................65692 933 Authority citation revised......................................3455 933.1 (cc) revised..................................................3455 (n)(1)(iii) revised; (bb)(6)(iii) and (7) amended; (bb)(8) added..............................................................35127 (l), (z) and (aa) amended; (u), (x) and (y) revised; (ee) added..............................................................40023 933.2 (c)(2) amended...............................................40023 933.3 (c) amended..................................................40023 933.4 (d) added....................................................40024 933.9 Amended......................................................40023 933.10 Amended.....................................................40023 933.11 (a)(1), (3), (4), (b)(1), (2), (3)(i) introductory text and (ii) amended...............................................40023 (b)(3)(i)(B) and (C) revised...................................40024 933.12 (a) amended.................................................40023 933.14 (a) heading removed; (a)(1) revised; (b) removed............40024 933.15 (a)(i) and (ii) amended.....................................40023 (c) added......................................................40024 933.16 Amended.....................................................40023 [[Page 677]] 933.17 (e)(1) introductory text, (i), (2)(i), (3)(i) and (f)(1) amended....................................................40023 933.18 (a)(1) amended; (e) revised.................................65692 933.20 (b)(1) and (2) amended......................................40024 (e) revised....................................................65692 933.22 (b)(1) amended..............................................65692 933.24 (b)(3) amended; (b)(4) removed..............................65692 933.25 (e) amended; (f) removed....................................65692 933.26 (d) amended; (e) removed....................................65692 933.27 (f) amended; (g) removed....................................65692 933.28 (c) amended; (d) removed....................................65692 934.16 Regulation at 62 FR 65198 confirmed.........................39702 934.17 Redesignated from 932.3.....................................65687 935.1 Amended...............................................35128, 65545 935.7 Removed......................................................65545 935.13 (a)(5) revised..............................................65545 935.14 (b)(2) revised..............................................65545 936.1 (g) and (h) revised..........................................65545 936.5 (e) revised..................................................65545 936.6 (a)(5) added; (b) removed; (c) redesignated as (b); (a) introductory text, (2) and (4) new (b) revised.............65545 936.7 Revised......................................................65545 937 Added..........................................................39704 938 Added..........................................................65699 941.17 (f)(2) revised..............................................65693 943.6 (c) revised..................................................65700 960.1 Amended; interim.............................................27672 960.4 (d) revised; interim.........................................27672 960.5 (b)(9), (10)(i)(C) and (ii) revised; interim.................27672 960.6 (b)(4)(ii) and (iii) amended; (b)(4)(iv)(A), (C)(2), (D), (F)(8) and (10) revised; interim...........................27673 960.7 (a) revised; interim.........................................27673 960.9 Introductory text revised; interim...........................27673 960.12 (e) revised; interim........................................27673 960.13 (c)(4), (5)(iv), (d)(1) and (2)(iv) revised; interim........27673 970 (Subchapter F) Added...........................................65546 Chapter XV Chapter XV Heading revised.........................................57237 1502 Removed.......................................................57237 1503 Removed.......................................................57237 1505 Removed.......................................................57237 1506 Removed.......................................................57237 1507 Removed.......................................................57237 ChapterXVII 1710 Added; eff. 1-22-99...........................................71005 1720 Added; interim.................................................8844 Regulation at 63 FR 8844 confirmed.............................26063 1999 12 CFR 64 FR Page Chapter I 1.3 (e)(1) revised.................................................60098 3.6 (c) revised....................................................10199 3 Appendix A amended...............................................10199 Regulation at 62 FR 68067 confirmed............................19037 4.6 Regulation at 63 FR 46120 confirmed............................56952 4.7 Regulation at 63 FR 46120 confirmed; (b)(1)(iii)(B) and (2) introductory text revised..................................56952 4.31 Regulation at 63 FR 62929 confirmed; (b)(3) amended...........29216 4.32 Regulation at 63 FR 62929 confirmed; (b)(1)(vii) revised......29216 4.34 (a), (c) introductory text, (1) and (2) amended...............29216 4.36 Regulation at 63 FR 62929 confirmed; (a) revised; (b) and (c) redesignated as (c) and (d); new (b) added; new (c) heading revised............................................29216 4.37 Regulation at 63 FR 62929 confirmed...........................29216 (a)(1) revised; (a)(2)(i) and (ii) amended.....................29217 4.38 Regulation at 63 FR 62929 confirmed...........................29216 4.39 Regulation at 63 FR 62929 confirmed...........................29216 4.40 Regulation at 63 FR 62929 confirmed...........................29216 4.31--4.40 (Subpart C) Appendix A amended..........................29217 5.3 (c) revised; (g)(2) amended....................................60098 5.11 (i)(1) amended................................................60098 5.33 (d)(2)(i) revised.............................................60098 5.35 (g)(3) amended................................................60098 5.37 (d)(1)(i) and (3) amended.....................................60098 5.51 (c)(6)(i) amended.............................................60098 5.64 (b) amended...................................................60098 7 Heading revised..................................................60098 7.1012 (c)(2)(i) and (ii) revised; (c)(2)(iii) through (vi) added 60098 [[Page 678]] 7.1016 (a), footnote, (b)(1)(iii)(C), (iv) and (2)(ii) revised.....60099 7.1017 Introductory text revised...................................60099 7.2005 (b)(4) revised..............................................60099 7.2008 (b) amended; (c) added......................................60099 7.2020 Revised.....................................................60099 7.2023 Added.......................................................60099 7.4000 Heading, (a) and (b) revised................................60100 7.4003 Added.......................................................60100 7.4004 Added.......................................................60100 7.4005 Added.......................................................60100 22.6 (a) revised...................................................71273 24.1 (d) added; eff. 1-19-00.......................................70990 24.3 (b) and (c) removed; (d) redesignated as (b) and amended; new (b)(6) revised; eff. 1-19-00...............................70990 24.4 (a) amended; eff. 1-19-00.....................................70991 24.5 (a)(1), (3)(iii), (b)(1) and (2)(iii) revised; (a)(3)(v) and (vi) amended; (a)(3)(vii) removed; (a)(5) added; eff. 1- 19-00......................................................70991 24.6 Heading, (a) introductory text, (5) and (8) revised; (a)(9) redesignated as (a)(10); new (a)(9) added; (b) removed; eff. 1-19-00...............................................70991 26.2 (b) and (f) removed; (c) through (s) redesignated as (b) through (q)................................................51678 26.3 (c) revised...................................................51678 26.5 Revised.......................................................51678 26.6 Revised.......................................................51678 26.7 (a) revised...................................................51678 30 Authority citation revised......................................52641 30.2 Amended; interim..............................................52641 30.3 (a) revised; interim..........................................52641 30 Appendix C added; interim.......................................52641 Appendix B revised......................................66704, 66705 Chapter II 201.2 (j) and (k) added............................................41769 201.3 (e) added....................................................41769 201.6 (d) revised..................................................41770 201.7 Existing text designated as (a); (b) added...................41770 201.51 Revised..............................................48274, 66554 201.52 Heading revised; (c) added..................................41770 203 Supplement I amended...........................................70992 204.9 Revised......................................................53619 208 Authority citation revised.....................................10199 208.25 (f)(1) revised..............................................71274 208 Appendix A amended.............................................10199 Appendixes A and B amended.....................................10200 Regulation at 62 FR 68067 confirmed; Appendix E amended........19037 Appendix E amended.............................................19038 Regulation at 63 FR 55486 confirmed............................66705 Appendix D-2 revised....................................66704, 66705 211.26 Regulation at 63 FR 26121 confirmed; (c)(2)(i)(C)(2) and (ii) revised...............................................56952 211.604 Added......................................................58781 212.2 (b) and (f) removed; (c) through (r) redesignated as (b) through (p)................................................51679 212.3 (b) and (c) revised..........................................51679 212.5 Revised......................................................51679 212.6 Revised......................................................51679 212.7 (a) revised..................................................51679 213 Supplement I amended....................................16613, 16614 220 OTC margin stock lists...................................8711, 46559 225 Appendix A amended.............................................10203 Regulation at 62 FR 68068 confirmed............................19037 Appendix E amended.............................................19038 226 Dollar amount adjustment notice................................60335 226 Supplement I amended....................................16616, 16617 229.19 (g) redesignated as (g)(1); new (g)(1) heading and (2) added......................................................14577 229.36 (c) removed.................................................59613 229.40 Existing text designated as (a); (a) heading and (b) added 14577 229 Appendix E amended.............................................59613 230.6 (c) added; interim...........................................49848 262.3 (b)(1)(ii) amended; (b)(1)(ii)(A) removed; (b)(1)(ii)(B) revised....................................................53188 263.302 Reguation at 63 FR 55488 confirmed.........................66707 Chapter III 303.164 (b) revised................................................20142 308 Authority citation revised.....................................62100 308.101 (b) revised................................................62100 308.102 (b) revised................................................62100 308.109 (b)(3) and (c) revised.....................................62100 308.127 (a) amended................................................62100 308.132 (c)(3) heading and introductory text amended...............62100 308.145 Amended....................................................62100 308.148 (b) and (d) amended........................................62100 308.151 Revised....................................................62100 308.152 (a) and (b) amended........................................62101 308.153 Heading amended............................................62101 308.155 (c)(2) amended.............................................62101 [[Page 679]] 308.156 Amended....................................................62101 Corrected......................................................72913 308.157 (a)(1) amended.............................................62101 308.158 Revised....................................................62101 308.160 (c)(2) amended.............................................62101 308.161 Revised....................................................62101 308.162 (a) revised................................................62101 308.163 (b) revised................................................62101 308.164 (b)(2) amended.............................................62102 308.170 (a) and (b) revised........................................62102 308.171 (b) revised................................................62102 308.172 (b)(3) added...............................................62102 308.174 Revised....................................................62102 308.175 (a) amended................................................62102 308.176 (a) revised................................................62102 308.179 Amended....................................................62102 325.3 (b)(2) revised...............................................10200 325 Appendix A amended.............................................10200 Regulation at 62 FR 68068 confirmed; Appendix C amended........19038 327.3 (c)(1) and (d)(1) amended; eff. 4-1-00.......................70181 327.4 (a)(1) introductory text and (d) revised; (e) amended; eff. 4-1-00.....................................................70181 327.9 (c)(4) amended; eff. 4-1-00..................................70181 330.3 (h) revised..................................................15656 330.5 Heading, (b)(1), (4) heading and (i) revised.................15656 330.9 (b) revised..................................................15656 (a) revised....................................................62102 330.10 (a) and (e) revised.........................................15657 330.14 (a) revised.................................................15657 331 Added; interim.................................................30875 Regulation at 64 FR 30875 confirmed; Appendix A revised........50434 Regulation at 64 FR 30875 confirmed; Appendix B revised........50436 331.4 Amended......................................................50434 339.6 (a) revised..................................................71274 343 Removed........................................................62105 347.214 Regulation at 63 FR 26121 confirmed; revised...............56952 348.2 (b) and (f) removed; (c) through (r) redesignated as (b) through (p)................................................51679 348.3 (c) revised..................................................51679 348.5 Revised......................................................51680 348.6 Revised......................................................51680 348.7 (a) revised..................................................51680 364 Appendix B revised......................................66704, 66706 364.101 Regulation as 63 FR 55488 confirmed........................66708 Chapter IV 404 Revised........................................................14374 405 Removed........................................................14381 Chapter V 503.1 (b), (c) and (d) amended.....................................69184 505.2 Amended......................................................69184 505.3 Amended......................................................69184 505.4 Amended......................................................69184 541.3 Removed......................................................46564 541.4 Removed......................................................46564 541.6 Removed......................................................46564 541.13 Removed.....................................................46564 541.17 Removed.....................................................46564 541.23 Revised.....................................................46564 545.103 Redesignated as 560.60.....................................46565 557.11 (a) introductory text revised...............................69184 559.11 Amended.....................................................69185 560.60 Redesignated from 545.103 and revised.......................46565 560.3 Amended......................................................46565 560.50 Added.......................................................46565 560.120 (a) amended; (b)(2)(ii) revised............................46565 561.10 Removed.....................................................46565 561.11 Removed.....................................................46565 561.13 Removed......................................................6503 561.20 Removed.....................................................46565 561.21 Removed.....................................................46565 561.23 Removed.....................................................46565 561.25 Removed.....................................................46565 561.32 Removed.....................................................46565 561.36 Removed.....................................................46565 561.47 Removed......................................................6503 561.48 Removed......................................................6503 563 Authority citation revised......................................2809 563.41 (b)(1)(v)(B) revised........................................69185 563.134 Removed.....................................................2809 563.140--563.146 (Subpart E) Revised................................2809 563.171 Heading revised............................................69185 563b.3 (g)(2) amended...............................................2810 563f.2 (b) and (f) removed; (c) through (s) redesignated as (b) through (q)................................................51680 563f.3 (c) revised.................................................51680 563f.5 Revised.....................................................51680 563f.6 Revised.....................................................51680 563f.7 (a) revised.................................................51681 567.1 Amended......................................................10200 567.2 (a)(2)(ii) revised...........................................10201 567.6 (a)(1)(vi) revised...........................................10201 567.8 Revised......................................................10201 570.1 Regulation at 63 FR 55488 confirmed; (c) revised.............66708 570 Appendix B revised......................................66704, 66706 572.6 (a) revised..................................................69185 [[Page 680]] Chapter VI 602 Revised (effective date pending)...............................41770 Regulation at 64 FR 41770 eff. 10-6-99.........................54512 602.11 (e) corrected...............................................45589 611.310--611.340 (Subpart C) Regulation at 63 FR 64843 eff. 2-11- 99..........................................................6784 611.330 Regulation at 63 FR 64843 eff. 2-11-99......................6784 611.340 Regulation at 63 FR 64843 eff. 2-11-99......................6784 611.400 (c) and (d)(3) revised (effective date pending)............16618 Regulation at 64 FR 16618 eff. 5-11-99.........................25423 611.505 Regulation at 63 FR 64844 eff. 2-11-99......................6784 611.1122 Regulation at 63 FR 64844 eff. 2-11-99.....................6784 612.2165 (b)(7) amended (effective date pending)...................43048 Regulation at 64 FR 43048 eff. 10-13-99........................55621 614 Authority citation revised.....................................34517 614.4000 (e)(4) removed (effective date pending)...................43049 Regulation at 64 FR 43049 eff. 10-13-99........................55621 614.4010 (f)(1) revised; (f)(4) removed (effective date pending) 43049 Regulation at 64 FR 43049 eff. 10-13-99........................55621 614.4030 (c)(4) removed (effective date pending)...................43049 Regulation at 64 FR 43049 eff. 10-13-99........................55621 614.4040 (c)(4) removed (effective date pending)...................43049 Regulation at 64 FR 43049 eff. 10-13-99........................55621 614.4050 (d)(4) removed (effective date pending)...................43049 Regulation at 64 FR 43049 eff. 10-13-99........................55621 614.4232 Introductory text amended; (c) revised (effective date pending)...................................................34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 614.4325 (a)(3) amended (effective date pending)...................34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 614.4350--614.4360 (Subpart J) Heading revised (effective date pending)...................................................34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 614.4350 (a) and (c) revised (effective date pending)..............34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 614.4351 Amended (effective date pending)..........................34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 614.4352 (a), (b)(1) and (2) amended (effective date pending)......34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 614.4353 Amended (effective date pending)..........................34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 614.4354 Amended (effective date pending)..........................34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 614.4355 Introductory text, (a) heading and (b) heading amended (effective date pending)...................................34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 614.4356 Redesignated as 614.4357; new 614.4356 added (effective date pending)..............................................34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 614.4357 Redesignated as 614.4358; new 614.4357 redesignated from 614.4356 (effective date pending)..........................34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 614.4358 Redesignated as 614.4359; new 614.4358 redesignated from 614.4357; (a) introductory text, (1), (3) and (b) introductory text amended; (b)(5) redesignated as (b)(6); new (b)(5) added (effective date pending)..................34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 [[Page 681]] 614.4359 Redesignated as 614.4360; new 614.4359 redesignated from 614.4358; (a) introductory text, (a)(1)(iii), (b), (c) and Table 1 amended (effective date pending)...................34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 614.4360 Redesignated as 614.4361; new 614.4360 redesignated from 614.4359; heading, (a), (b), (c) and (d) amended; (d) redesignated as (e); new (d) added (effective date pending)...................................................34517 Regulation at 64 FR 34517 eff. 8-6-99..........................43049 614.4361 Redesignated from 614.4360 (effective date pending).......34517 (a) and (b) amended............................................34518 Regulations at 64 FR 34517 and 34518 eff. 8-6-99...............43049 614.4460 (Subpart M) Revised (effective date pending)..............43049 Regulation at 64 FR 43049 withdrawn............................55621 614.4710 Introductory text, (a)(2) and (3) amended (effective date pending)...................................................34518 Regulation at 64 FR 34518 eff. 8-6-99..........................43049 614.4720 (g) removed (effective date pending)......................43049 Regulation at 64 FR 43049 confirmed; eff. 10-13-99.............55621 614.4940 (a) revised...............................................71274 615.5131 Revised (effective date pending)..........................28895 Regulation at 64 FR 28895 eff. 7-15-99.........................38111 615.5133 Revised (effective date pending)..........................28895 Regulation at 64 FR 28895 eff. 7-15-99.........................38111 615.5134 (b) revised (effective date pending)......................28896 Regulation at 64 FR 28896 eff. 7-15-99.........................38111 615.5140 Revised (effective date pending)..........................28896 Regulation at 64 FR 28896 eff. 7-15-99.........................38111 615.5141 Redesignated as 615.5142; new 615.5141 added (effective date pending)..............................................28899 Regulation at 64 FR 28899 eff. 7-15-99.........................38111 615.5142 Redesignated as 615.5143; new 615.5142 redesignated from 615.5141 and revised (effective date pending)..............28899 Regulation at 64 FR 28899 eff. 7-15-99.........................38111 615.5143 Redesignated as 615.5144; new 615.5143 redesignated from 615.5142 and revised (effective date pending)..............28899 Regulation at 64 FR 28899 eff. 7-15-99.........................38111 615.5144 Redesignated from 615.5143 (effective date pending).......28899 Regulation at 64 FR 28899 eff. 7-15-99.........................38111 615.5170--615.5174 (Subpart F) Heading revised (effective date pending)...................................................49961 Regulation at 64 FR 49961 eff. 10-21-99........................56676 615.5171 Revised (effective date pending)..........................49961 Regulation at 64 FR 49961 eff. 10-21-99........................56676 615.5174 Revised...................................................28899 Regulation at 64 FR 28899 eff. 7-15-99.........................38111 616 Added (effective date pending).................................34518 Regulation at 64 FR 34518 eff. 8-6-99..........................43049 618.8050--618.8060 (Subpart C) Removed (effective date pending)....34519 Regulation at 64 FR 34519 eff. 8-6-99..........................43049 618.8210--618.8270 (Subpart F) Removed (effective date pending)....43049 Regulation at 64 FR 43049 eff. 10-13-99........................55621 618.8320 (b)(7) removed; (b)(8), (9) and (10) redesignated as (b)(7), (8) and (9) (effective date pending)...............43049 Regulation at 64 FR 43049 eff. 10-13-99........................55621 618.8330 Revised (effective date pending)..........................43049 Regulation at 64 FR 43049 eff. 10-13-99........................55621 [[Page 682]] 618.8440 (b)(6) amended (effective date pending)...................34519 Regulation at 64 FR 34519 eff. 8-6-99..........................43049 620.5 (i)(1) amended (effective date pending)......................16618 Regulation at 64 FR 16618 eff. 5-11-99.........................25423 621.7 (a)(2)(iii) amended (effective date pending).................34519 Regulation at 64 FR 34519 eff. 8-6-99..........................43049 Chapter VII 701.2 Removed......................................................57365 701.12 Removed.....................................................41035 701.13 Removed.....................................................41035 701.14 (b)(3) introductory text and (c)(2) revised; (b)(4) added; (d)(1) amended.............................................28717 701.20 Removed.....................................................28719 701.21 (c)(7)(ii)(C) Revised........................................5929 Regulation at 63 FR 51799 confirmed............................28729 (a) amended....................................................57365 701.25 Added.......................................................19443 701.30 Removed.....................................................28718 701.34 (b)(7) revised; Appendix amended; eff. 1-26-00..............72270 701.39 Added.......................................................56956 703.20 (c) amended.................................................33187 (a) and (c) amended............................................57365 704.7 (d) amended..................................................57365 707.4 Regulation at 63 FR 71574 confirmed..........................33010 707.5 Regulation at 63 FR 71574 confirmed..........................33010 707.6 Heading revised; (c) added; interim..........................66356 707.8 Regulation at 63 FR 71574 confirmed..........................33010 707.9 Regulation at 63 FR 71575 confirmed..........................33010 707 Regulation at 63 FR 71575 confirmed............................33010 708a.4 (b) amended.................................................28735 708a.5 (c) amended.................................................28735 708a.9 (b) revised.................................................28735 709.5 (e) amended..................................................57365 711.2 (b) and (f) removed; (c) through (s) redesignated as (b) through (q)................................................66360 711.3 (c) revised..................................................66360 711.5 Revised......................................................66360 711.6 Revised......................................................66360 711.7 (a) revised..................................................66360 712.2 Heading revised; (a) and (c) amended; (d) and (e) added......33187 712.3 (a) and (b) amended; (c) revised.............................33187 (a) amended....................................................57365 712.5 (p) added....................................................33187 (p) redesignated as (q); new (p) added.........................66361 712.6 (b) revised; interim.........................................33188 (a) designation and (b) removed................................66361 713 Added..........................................................28720 713.2 Amended......................................................57365 715 Added..........................................................41035 722.3 Regulation at 63 FR 51799 confirmed..........................28729 723 Regulation at 63 FR 51799 confirmed; revised...................28729 723.1 (b)(3) amended...............................................57365 741.3 (a)(3) amended...............................................41040 741.4 (a), (g) and (j) amended; (b)(3) removed; (b)(2) redesignated as (b)(3); (b)(2), (4) and (5) added; (b)(1), (c) through (f) and (h) revised............................56150 741.6 (a) amended; (b) redesignated as (d); new (b) and (c) added 41040 741.201 (a) and (b) amended........................................28721 741.202 (a) and (b) amended........................................41040 741.203 Regulation at 63 FR 51802 confirmed........................28729 (a) amended....................................................28733 745 Authority citation revised.....................................19687 745.4 Revised; interim.............................................19687 745.8 Revised; interim.............................................19687 745 Appendix amended; interim...............................19687, 19688 760.6 (a) revised..................................................71274 790.2 (b)(6)(ii) revised...........................................17086 (b)(7) and (16) amended........................................57365 791.18 (e) amended.................................................57365 792.54 (b) amended.................................................57365 792.55 (a) amended.................................................57365 792.56 (a) amended.................................................57365 792.66 (b)(2) amended..............................................57365 795.1 (b) revised (OMB numbers)....................................49080 Chapter IX 902.6 Removed......................................................30883 903 Added..........................................................30883 904.9 (f)(2) revised................................................5930 905 Added; interim.................................................44106 Regulation at 64 FR 44106 confirmed............................61016 910 Authority citation revised.....................................55130 [[Page 683]] 910.0 (b), (c) and (d) redesignated as (c), (d) and (e); (a) and new (c) revised; new (b), (f) and (g) added................55130 910.7 Added........................................................55130 932 Authority citation revised.....................................71277 932.16 Revised; interim............................................71277 932.17 (a), (b) and (c) revised; (f) added; interim................71278 932.18--932.19 (Subpart C) Removed; interim........................71278 934.7 Heading amended; (a)(2) and (b) through (e) removed; (a)(1), (a)(3), (a)(4) and (a)(5) redesignated as (a) through (d); interim....................................................71278 934.16 Revised; interim............................................71278 934.17 Revised; interim............................................71278 935 Authority citation revised.....................................16621 935.1 Amended......................................................16621 935.4 (d)(1) designation and (2) removed; interim..................71278 935.5 (a)(2) removed; (a)(3) redesignated as (a)(2); interim.......71278 935.9 (a) revised; (b) heading, (c) heading and (e) heading amended....................................................16621 935.11 (b) revised.................................................16621 935.15 (b) revised; interim........................................16791 935.16 Removed; interim............................................71278 960 Interpretation.................................................12079 960.1 Amended; interim.............................................24027 960.3 (b)(4) revised; interim......................................24027 960.5 (b)(10)(ii) revised..........................................23015 (b)(2)(ii)(B) amended; interim.................................24027 960.6 (b)(4)(iv)(D) and (F)(8) revised.............................23015 (b)(4)(iv)(D) and (F)(1) revised; interim......................24028 960.7 Corrected.....................................................2550 960.9 Introductory text revised....................................23016 Chapter XI 1102.300 Revised; eff. 1-12-00.....................................72496 1102.301 Revised; eff. 1-12-00.....................................72496 1102.303 (b) and (d) revised; eff. 1-12-00.........................72497 1102.304 Revised; eff. 1-12-00.....................................72497 1102.305 Heading, (a) and (c) revised; eff. 1-12-00................72497 1102.306 Redesignated as 1102.309; new 1102.306 added; eff. 1-12- 00.........................................................72497 1102.307 Redesignated as 1102.308; eff. 1-12-00....................72497 Added; eff. 1-12-00............................................72500 1102.308 Redesignated from 1102.307; eff. 1-12-00..................72497 1102.309 Redesignated from 1102.306; eff. 1-12-00..................72497 1102.310 Added; eff. 1-12-00.......................................72501 Chapter XVII 1730 Added; interim................................................34969 Regulation at 64 FR 34969 confirmed............................50246 1780 Part heading revised..........................................72509 Authority citation revised.....................................72510 1780.1--1780.16 (Subpart A) Added; eff. 1-27-00....................72510 1780.20--1780.35 (Subpart B) Added; eff. 1-27-00...................72513 1780.50--1780.57 (Subpart C) Added; eff. 1-27-00...................72518 1780.70--1780.75 (Subpart D) Added; eff. 1-27-00...................72520 1780.70 Redesignated as 1780.80; eff. 1-27-00......................72510 1780.71 Redesignated as 1780.81; eff. 1-27-00......................72510 1780.80 Redesignated from 1780.70; eff. 1-27-00....................72510 1780.81 Redesignated from 1780.71; eff. 1-27-00....................72510 Chapter XVIII 1805 Revised; interim..............................................59082 2000 12 CFR 65 FR Page Chapter I 3 Appendixes A and B amended; interim; eff. 1-4-01.................75858 5 Authority citation revised.......................................12910 5.24 (d)(2)(ii)(G) revised.........................................12910 5.33 (e)(3)(i) and (ii) revised....................................12911 5.34 Revised.......................................................12911 5.35 (e), (f)(1), (2), (g)(2), (h) and (i)(2) revised; (f)(3) removed; (f)(4), (5) and (6) redesignated as (f)(3), (4) and (5)....................................................12913 5.36 (c) and (d) redesignated as (d) and (f); new (c) and (e) added......................................................12913 (e)(6) amended; (e)(7) redesignated as (e)(8); new (e)(7) added..............................................................41560 5.39 Added.........................................................12914 8.6 Heading revised; (c) added.....................................75862 14 Added; eff. 4-1-01..............................................75839 19 Authority citation revised......................................77251 [[Page 684]] 19.240--19.241 (Subpart O) Revised.................................77252 40 Added...........................................................35196 Chapter II 201.51 Revised........................................6532, 16802, 34048 203 Supplement I amended; eff. 1-1-01..............................80735 204.9 Revised......................................................69859 204.125 Amended....................................................12917 208 Authority citation revised.....................................75841 208.100--208.101 (Subpart G) Redesignated as 208.100--208.101 (Subpart H); interim.......................................14814 208.100--208.101 (Subpart H) Redesignated as (Subpart I); eff. 4- 1-01.......................................................75841 208.71--208.77 (Subpart G) Added; interim..........................14814 208.71 (c) added; interim..........................................15052 208.77 (e) and (f) redesignated as (f) and (g); new (e) added; interim....................................................15052 208.81--208.86 (Subpart H) Added; eff. 4-1-01......................75841 208 Appendix E amended; interim; eff. 1-4-01.......................75858 216 Added..........................................................35206 220 OTC margin stock lists...................................9207, 51519 216 Added..........................................................35206 225 Authority citation revised..............................14438, 16472 Technical correction...........................................16302 225.1 (c)(9) through (13) redesignated as (c)(11) through (15); new (c)(10) added; interim.................................16472 225.2 (r)(2) and (s) revised; interim...............................3791 (s)(1) introductory text revised; interim......................15055 225.4 (g) added; interim...........................................14442 225.24 (a)(3) removed..............................................14438 225.81--225.94 (Subpart I) Added; interim...........................3791 225.81 (c) redesignated as (d); new (c) added; interim.............15055 225.85 Added; interim..............................................14438 225.86 Added; interim..............................................14438 (d) added; eff. 1-22-01........................................80740 225.87 Added; interim..............................................14439 225.88 Added; interim..............................................14439 225.89 Added; interim..............................................14440 225.90 Revised; interim............................................15055 225.91 Revised; interim............................................15056 225.92 Revised; interim............................................15056 225.93 Revised; interim............................................15056 225.94 Revised; interim............................................15057 225.170--225.175 (Subpart J) Added; interim........................16472 225 Appendix E amended; interim; eff. 1-4-01.......................75859 226.5 Footnote 9 revised...........................................58908 226.5a (a)(3) revised..............................................17131 (a)(2)(ii), (5), (b) introductory text and (1) introductory text revised; (b)(11) added........................................58908 226.12 (g) revised.................................................17131 226 Supplement I amended.............................17131, 58910, 70465 Appendix G amended.............................................58908 261a Authority citation revised....................................34392 261a.13 (b)(6) removed; (b)(7), (8) and (9) redesignated as (b)(6), (7) and (8); new (b)(9) added......................34392 263.65 Revised.....................................................60584 269a.4 Amended; interim.............................................2530 269a.5 Amended; interim.............................................2530 272.3 (a) and (b) amended...........................................6320 272.4 (b) amended...................................................6320 Chapter III 303 Authority citation revised.....................................15529 303.120 Revised; interim...........................................15529 303.121 Revised; interim...........................................15529 303.122 (a) amended; interim.......................................15530 303.123 (b) revised; interim.......................................15530 308.116 (b)(4)(iii)(A) and (B) amended.............................64887 308.132 (c)(2)(i), (iii)(A), (C), (3)(i), (ii), (ix), (xiv) and (xvi) amended..............................................64887 325 Appendix C amended; interim; eff. 1-4-01.......................75859 331 Removed........................................................78899 332 Added..........................................................35216 340 Added..........................................................14818 343 Added; eff. 4-1-01.............................................75843 360 Authority citation revised.....................................49191 360.6 Added........................................................49191 361 Revised........................................................31253 362 Authority citation revised.....................................15530 362.16--362.18 (Subpart E) Added; interim..........................15530 Chapter V 506.1 (b) amended..................................................78900 509 Authority citation revised.....................................61262 509.19 (c)(1) amended..............................................78901 509.31 (b)(3) revised..............................................78901 509.103 Added......................................................61262 510.6 Removed......................................................61262 536 Added; eff. 4-1-01.............................................75845 560.30 Amended.....................................................78901 [[Page 685]] 563 Effective date confirmation....................................30257 563.84 Removed.....................................................16305 563b Comment period extention......................................60096 563b.3 (g)(1) and (3) revised; interim.............................43090 563c Effective date confirmation...................................30257 563c.101 (c) revised...............................................16305 563g Effective date confirmation...................................30257 563g.3 (a) removed.................................................16305 573 Added..........................................................35226 575 Comment period extention.......................................60096 575.11 (c) introductory text, (1), (2) and (3) redesignated as (c)(1) introductory text, (ii), (iii) and (iv); (a), new (c)(1) introductory text and (iv) amended; (c)(1)(i), new (2) and (d)(3) added; interim..............................43091 Chapter VI 611.400 (e) correctly revised.......................................8023 612 Revised (effective date pending)...............................40487 Regulation at 65 FR 40487 withdrawn; eff. 9-11-00..............54742 614 Technical correction...........................................26278 614.4000 (d)(2) removed; (d)(1) introductory text, (i) and (ii) redesignated as (d) introductory text, (1) and (2); new (d) introductory text, (1) and (2) amended (effective date pending)...................................................24102 Regulation at 65 FR 24102 eff. 5-25-00.........................33743 614.4010 (e)(2) removed; (e)(1) introductory text, (i) and (ii) redesignated as (e) introductory text, (1) and (2); new (e) introductory text and (2) amended (effective date pending)...................................................24102 Regulation at 65 FR 24102 eff. 5-25-00.........................33743 614.4030 (b)(2) removed; (b)(1) introductory text, (i) and (ii) redesignated as (b) introductory text, (1) and (2); new (b) introductory text, (1) and (2) amended (effective date pending)...................................................24102 Regulation at 65 FR 24102 eff. 5-25-00.........................33743 614.4040 (b)(2) removed; (b)(1) introductory text, (i) and (ii) redesignated as (b) introductory text, (1) and (2); new (b) introductory text amended (effective date pending).....24102 Regulation at 65 FR 24102 eff. 5-25-00.........................33743 614.4050 (c)(2) removed; (c)(1) introductory text, (i) and (ii) redesignated as (c) introductory text, (1) and (2); new (c) introductory text amended (effective date pending).....24102 Regulation at 65 FR 24102 eff. 5-25-00.........................33743 614.4440 (f) amended (effective date pending)......................40491 Regulation at 65 FR 40491 eff. 9-11-00.........................54742 620.5 (i)(3)(i) corrected...........................................8023 622 Authority citation revised.....................................46088 622.61 Revised.....................................................46088 Chapter VII 700.1 (i) removed; (j) and (k) redesignated as (i) and (j).........44966 701.1 Revised......................................................64521 701.21 (c)(3) revised..............................................15226 (c)(7)(ii)(C) revised..........................................44977 701.34 (b)(12) and (13) added; Appendix amended....................21131 702 Revised.........................................................8584 702.2 (j)(2) amended; (k) added....................................44966 702.101 (a)(2) corrected...........................................55439 702.102 (a)(1), (2) and (3) amended................................44966 702.103 Added......................................................44966 702.104 Added......................................................44966 702.105 Added......................................................44967 702.106 Added......................................................44968 702.107 Added......................................................44969 702.108 Added......................................................44971 702.101--702.108 (Subpart A) Appendix A through F added............44971 702.302 (a), (c)(1), (2) and (3) amended...........................44974 (a), (c)(1), (2) and (3) corrected.............................55439 705.10 Amended.....................................................80299 707.6 Regulation at 64 FR 66356 confirmed..........................21132 707 Appendix C corrected; CFR correction...........................32010 709 Authority citation revised.....................................55442 709.0 Amended......................................................55442 709.10 Added.......................................................55442 709.11 Added.......................................................55443 [[Page 686]] 714 Added..........................................................34585 716 Added..........................................................31740 Corrected......................................................34534 716.4 (f) redesignated as (f)(1); (f)(2) added.....................36783 716.7 (d)(6) added.................................................36783 724.1 Amended......................................................10934 741 Authority citation revised......................................8593 741.3 (a)(1) and (2) revised........................................8593 741.220 Added......................................................31750 745 Regulation at 64 FR 19687 confirmed............................34924 745.2 (a) amended..................................................34924 745.4 Regulation at 64 FR 19687 confirmed; (e) and (f) added.......34924 745.9-1 (c) added..................................................34924 745.9-2 (a) amended................................................10934 (a) revised....................................................34924 745.10 (a)(1) through (5) and (b) revised; (c) amended.............34924 745.88 Regulation at 64 FR 19687 confirmed.........................34924 745 Appendix amended...............................................34925 747 Authority citation revised...............................8593, 57280 747.1001 (Subpart K) Revised.......................................57280 747.2001--747.2005 (Subpart L) Added................................8594 790.2 (b)(7) and (10) amended......................................25267 792.41 Amended.....................................................63789 792.47 (b) amended.................................................63789 792.49 Amended.....................................................63789 792.55 (a)(3) revised..............................................63790 792.56 (b)(1), (2) and (3) revised.................................63790 792.57 (b) revised.................................................63790 792.58 (a) amended.................................................63790 792.59 (e) revised.................................................63790 792.65 (a)(1) revised..............................................63790 792.66 (a), (b)(1) and (2) amended; (b)(4) added...................63790 792.69 (a) amended.................................................63790 Chapter IX 900 Redesignated as 905; new 900 added..............................8256 Authority citation revised..............................43981, 44426 900.1--900.5 (Subchapter A) Heading revised.........................8256 900.1 Amended.................................25274, 36298, 43981, 44426 902 Redesignated as 906.............................................8256 903 Redesignated as 907.............................................8256 904 Redesignated as 910.............................................8256 905--913 (Subchapter B) Heading revised.............................8256 905 Redesignated as 911; new 905 redesignated from 900..............8256 905.1 Amended.......................................................8256 905.2 (a) and (c) amended...........................................8256 905.4 (a) and (b) amended...........................................8256 905.14 (d) amended..................................................8257 905.30 (Subpart C) Removed.........................................36298 905.30 Amended......................................................8257 905.51 Amended......................................................8257 905.52 Amended......................................................8257 906 Redesignated as 912; new 906 redesignated from 902..............8256 906.1 Amended.......................................................8257 906.3 (c) amended...................................................8257 907 Redesignated from 903...........................................8256 907.1 Amended.......................................................8257 907.2 (a) and (b) amended...........................................8257 907.3 (a) amended...................................................8257 907.4 (a) and (b) amended...........................................8257 907.5 (a) and (b) amended...........................................8257 907.6 (c)(3), (6) and (8) amended...................................8257 907.8 (a) and (b) amended...........................................8257 907.9 (a), (c) and (d) amended......................................8257 907.10 (b)(3) and (8) amended.......................................8257 907.11 (a)(2), (4) and (5) amended..................................8257 907.12 (c), (g) introductory text, (3) and (4)(ii) amended..........8257 907.13 (a)(2) and (c) amended.......................................8257 907.14 (d), (e) and (g) amended.....................................8257 907.15 (c) amended..................................................8257 908 Removed.........................................................8256 909 Redesignated as 913.............................................8256 910 Redesignated as 966; new 910 redesignated from 904; heading revised.....................................................8256 Nomenclature change............................................20346 910.1 Amended................................................8257, 20346 910.2 (a)(2), amended...............................................8257 (a)(3), (b)(1) and (3) amended..................................8258 910.3 (b) revised..................................................20346 910.4 (a), (b), (d)(1)(ii) and (e) amended..........................8257 (c)(3) and (e) revised; (d)(1) amended.........................20346 910.5 (a)(7)(iv) and (a)(8) amended.................................8257 910.6 Introductory text amended.....................................8257 910.7 Revised......................................................20346 910.8 (a)(1) and (2) amended........................................8257 (a)(1) revised.................................................20346 910.9 (b), (c) and (f)(4)(ii) amended...............................8257 (c), (d) introductory text, (3)(ii) introductory text, (e), (f)(3), (4), (5) and (g) introductory text revised.................20346 [[Page 687]] 911 Redesignated from 905...........................................8256 911.1 Amended.......................................................8258 911.3 (a), (c)(1), (3), (4), (d) heading, introductory text and (2) amended.................................................8258 911.5 (e) amended...................................................8258 911.6 (a) amended...................................................8258 911.9 (a) amended...................................................8258 912 Redesignated as 987; new 912 redesignated from 906..............8256 Nomenclature change.............................................8258 912.1 (a) amended...................................................8258 912.2 Amended.......................................................8258 912.3 (a) amended...................................................8258 912.5 (a)(1), (5), (6)(ii), (b)(1), (c)(2) and (3)(i) amended.......8258 912.6 (a)(1), (2), (b) and (c)(1) amended...........................8258 913 Redesignated from 909...........................................8256 913.2 Amended.......................................................8259 913.4 (a) amended...................................................8259 913.5 (a) amended...................................................8259 913.9 (a) and (b) amended...........................................8259 914 Removed.........................................................8256 915--918 (Subchapter C) Heading revised.............................8256 915 Redesignated from 932; heading revised..........................8256 Nomenclature change.............................................8259 915.1 Amended................................................8259, 41568 915.3 (b)(3) amended................................................8259 (a), (b)(5) and (c) amended; (e) revised.......................41568 915.4 (a), (b)(1) and (2) amended...................................8259 915.5 (b) amended...................................................8259 915.6 (a)(3) amended................................................8259 915.7 (a) amended...................................................8259 (a) amended; (b)(2) removed; (b)(3) redesignated as (b)(2) and revised; (c)(4) and (d) added......................................41569 915.8 (a), (b) and (c) amended......................................8259 (b) amended....................................................41569 915.10 (b) revised.................................................41569 915.11 (b) and (f)(1) amended.......................................8259 915.12 (a) amended..................................................8259 915.13 (a) and (b) amended..........................................8259 915.14 (a)(2) amended...............................................8259 915.16 Removed......................................................8259 Added..........................................................41569 915.17 Removed......................................................8259 Added..........................................................41570 915.18 Removed......................................................8259 915.19 Removed......................................................8259 915 Appendix A added...............................................41570 917 Added...........................................................8259 Revised........................................................25274 917.4 Added........................................................44426 918 Removed.........................................................8256 Added...........................................................8259 918.2 Heading revised..............................................13666 918.3 Heading and (b) revised; (a) redesignated as (a)(1); (a)(2) added......................................................13666 918.4 Heading revised..............................................13666 918.7 Revised......................................................13666 918.9 Added........................................................13666 920 Removed.........................................................8256 924 Removed.........................................................8256 925 (Subchapter D) Heading revised...........................8256, 44426 925 Redesignated from 933...........................................8256 925.1 (a), (g), (h) and (s) removed; (n)(1)(iii) and (y) amended 8261 (n)(1)(iii) amended; (ff) and (gg) added; interim..............13869 Regulation at 65 FR 13869 confirmed; (ff) and (gg) removed.....40981 925.2 (a)(2), (b), (c) introductory text, (2) and (4) amended.......8261 925.3 (a) and (c) amended...........................................8261 925.4 (a), (c), (d)(1) introductory text and (2) amended............8261 (a) removed; (b), (c) and (d) redesignated as (a), (b) and (c); interim.......................................................13870 Regulation at 65 FR 13870 confirmed............................40981 925.5 (a)(1), (b)(1), (2) and (c) amended...........................8261 925.6 (b) revised; interim.........................................13870 Regulation at 65 FR 13870 confirmed............................40981 925.7 Amended.......................................................8261 925.8 Amended.......................................................8261 925.9 Amended.......................................................8261 925.10 Amended......................................................8261 Revised; interim...............................................13870 Regulation at 65 FR 13870 confirmed............................40981 925.11 (a) introductory text, (b) introductory text and (c) amended.....................................................8261 925.12 Introductory text amended....................................8261 925.13 (a) amended..................................................8261 925.14 (a)(1), (2), (3), (4)(i), (ii) and (iii) amended.............8261 (a)(3) revised; interim........................................13870 Regulation at 65 FR 13870 confirmed............................40981 [[Page 688]] 925.15 (a)(i) and (a)(ii) redesignated as (a)(1) and (a)(2); introductory text, new (a)(1), new (2), (b) and (c) amended.....................................................8261 925.16 Amended......................................................8261 925.17 (a), (b), (c) heading, (d) heading, (1), (2), (e) heading, (3)(i), (ii) and (f) heading amended........................8261 925.18 (a)(2), (c)(2), (4), (d)(2) and (e) amended..................8261 (e) amended; interim...........................................13870 Regulation at 65 FR 13870 confirmed............................40981 925.20 (b), (1), (2) and (e) amended................................8261 (a) revised; (b)(1) and (2) amended; interim...................13870 Regulation at 65 FR 13870 confirmed............................40981 925.22 (b)(1) amended...............................................8261 925.23 Amended......................................................8262 925.24 (a)(2), (b)(2) and (3) amended...............................8262 925.25 (d)(2) introductory text amended.............................8262 (d)(2)(ii)(A), (B), (iii) and (3) amended.......................8262 925.26 (c) and (d) amended..........................................8262 (a) revised; interim...........................................13870 Regulation at 65 FR 13870 confirmed............................40981 925.27 (a), (b)(1), (4), (c)(1), (2), (3) and (d) amended...........8261 (e) and (f) amended.............................................8262 925.28 (b) and (c) amended..........................................8262 925.29 (a)(1) and (2) amended.......................................8262 (a)(1) amended; interim........................................13870 Regulation at 65 FR 13870 confirmed............................40981 925.30 Introductory text, (a) and (b) amended.......................8262 Revised; interim...............................................13870 Revised........................................................40981 925.31 (d) amended..................................................8262 926 Added..........................................................44426 930 (Subchapter E) Heading revised..................................8256 931 Removed.........................................................8256 932 Redesignated as 915.............................................8256 932.15 Regulation at 64 FR 71277 confirmed.........................13666 932.16 Regulation at 64 FR 71278 confirmed.........................13666 932.17 Regulation at 64 FR 71278 confirmed.........................13666 932.18 Regulation at 64 FR 71278 confirmed.........................13666 933 Redesignated as 925.............................................8256 934 Removed.........................................................8256 934.7 Regulation at 64 FR 71278 confirmed..........................13666 934.16 Regulation at 64 FR 71278 confirmed.........................13666 934.17 Regulation at 64 FR 71278 confirmed.........................13666 935 Redesignated as 950.............................................8256 935.4 Regulation at 64 FR 71278 confirmed..........................13666 935.5 Regulation at 64 FR 71278 confirmed..........................13666 935.16 Regulation at 64 FR 71278 confirmed.........................13666 935.22 OMB number....................................................203 935.23 OMB number....................................................203 935.24 OMB number....................................................203 936 Authority citation revised......................................5739 Redesignated as 944.............................................8256 936.2 OMB number....................................................5739 936.3 OMB number....................................................5739 936.4 OMB number....................................................5739 936.5 OMB number....................................................5739 937 Redesignated as 989.............................................8256 938 Redesignated as 961.............................................8256 939 Removed.........................................................8256 940--944 (Subchapter F) Heading revised.............................8256 940 Removed.........................................................8256 Added..........................................................25278 Heading revised................................................43981 940.1 Amended......................................................43981 940.3 Added........................................................43981 941 Redesignated as 985.............................................8256 942 Removed.........................................................8256 943 Redesignated as 975.............................................8256 944 Removed; new 944 redesignated from 936..........................8256 Amended........................................................44428 944.1 Amended.......................................................8262 944.3 (b)(2), (3), (c)(2) and (3) amended...........................8262 944.4 (a) amended...................................................8262 944.5 (a)(3), (4), (d)(2) introductory text, (i) and (e) amended 8262 944.6 (b)(2) amended...............................................44428 950--961 (Subchapter G) Established.................................8256 950 Redesignated as 995; new 950 redesignated from 935..............8256 Nomenclature change............................................44428 950.1 Amended.......................................................8262 Amended..................................................8263, 44428 [[Page 689]] 950.2 (c)(3) amended................................................8262 Removed; new 950.2 redesignated from 950.4.....................44429 950.3 (a) and (c) amended...........................................8262 Removed; new 950.3 redesignated from 950.14; heading, (a) and (b)(1) revised.....................................................44429 950.4 (c)(1) amended................................................8262 Redesignated as 950.2; new 950.4 redesignated from 950.5.......44429 950.5 (g)(2)(i) and (ii) amended....................................8263 Redesignated as 950.4; new 950.5 redesignated from 950.6; (b)(1), (2)(ii), (3), (d)(1) and (2) revised.......................44429 950.6 (b)(2)(ii) and (3) amended....................................8263 Redesignated as 950.5; new 950.6 redesignated from 950.8; (a) and (b)(1) revised.................................................44429 950.7 Redesignated from 950.9; (b) through (e) redesignated as (c) through (f); (a) introductory text, (3), (4), (5), new (c) and new (d) revised; new (b) and (g) added.................44429 950.8 (a) amended...................................................8263 Redesignated as 950.6..........................................44429 Redesignated from 950.10.......................................44430 950.9 (e) amended...................................................8262 (a)(2) amended..................................................8263 Redesignated as 950.7..........................................44429 Redesignated from 950.11.......................................44430 950.10 Redesignated as 950.8; new 950.10 redesignated from 950.12 and revised................................................44430 950.11 (a) amended..................................................8263 Redesignated as 950.9; new 950.11 redesignated from 950.15.....44430 950.12 Redesignated as 950.10; new 950.12 redesignated from 950.17 44430 950.13 (d)(2) amended...............................................8262 (c)(1), (2) and (e) amended.....................................8263 Removed; interim...............................................13870 Regulation at 65 FR 13870 confirmed............................40981 Redesignated from 950.18.......................................44430 950.14 Redesignated as 950.3.......................................44429 Redesignated from 950.20.......................................44430 950.15 (a)(2) and (b) amended.......................................8263 (a)(1) redesignated as (a); (a)(2) removed; (b)(1) amended; interim............................................................13870 Regulation at 65 FR 13870 confirmed............................40981 Redesignated as 950.11; new 950.15 redesignated from 950.19....44430 950.16 Redesignated from 950.21 and revised........................44430 950.17 Redesignated as 950.12; new 950.17 redesignated from 950.24 and amended; heading and (b)(2)(i)(C) revised..............44430 950.18 Redesignated as 950.13......................................44430 950.19 Redesignated as 950.15......................................44430 950.20--950.24 (Subpart B) Heading revised.........................44430 950.20 (a) amended..................................................8262 Redesignated as 950.14.........................................44430 950.21 Amended......................................................8263 Redesignated as 950.16.........................................44430 950.22 (d) amended..................................................8263 Removed........................................................44430 950.23 (c)(2), (3), (4) introductory text, (i) and (ii) amended.....8262 (b) amended.....................................................8263 Removed........................................................44430 950.24 (a), (b)(2)(i), (A), (B), (C), (c)(2)(i) and (ii) amended 8263 Redesignated as 950.17.........................................44430 950.25 (Subpart C) Added...........................................43981 Correctly designated...........................................46049 951 Redesignated from 960...........................................8256 951.1 Amended................................................8263, 17437 951.3 (b)(1)(i), (iii), (v) through (viii) amended..................8263 951.5 (a)(2)(i), (5), (b)(1), (7)(i) and (ii) amended...............8263 951.6 (b)(2)(i), (3) and (4)(i) amended.............................8263 951.7 (a)(1) amended................................................8263 951.8 (b)(2)(i) and (iii) amended...................................8263 (c)(2) amended..................................................8264 951.9 (c) amended...................................................8264 951.10 (b)(1)(ii)(B), (c)(1)(iii) and (d) amended...................8264 951.11 (b) amended..................................................8264 951.12 (a)(1)(ii), (2)(i)(B) and (b)(2) amended.....................8264 951.13 (b)(3)(i), (ii)(A), (B), (b)(4)(i), (ii) and (iii) amended 8264 951.14 (a)(1) amended...............................................8264 951.15 (a)(1) and (2) amended.......................................8264 952 Redesignated from 970...........................................8256 Nomenclature change............................................44431 952.1 Amended.......................................................8264 952.2 Amended................................................8264, 44431 952.3 Amended................................................8264, 44431 952.4 Amended.......................................................8264 952.5 (a)(1), (3), (4), (d)(1), (3) and (4)(ii) amended......8264, 44431 [[Page 690]] 952.6 Amended......................................................44431 955 Redesignated as 996.............................................8256 Added..........................................................43981 956 Added...........................................................8264 Revised........................................................43985 960 Redesignated as 951.............................................8256 Added...........................................................8265 960.1 Regulation at 64 FR 24027 confirmed............................204 OMB number......................................................5419 960.3 Regulation at 64 FR 24027 confirmed............................204 OMB number......................................................5419 960.4 OMB number....................................................5419 960.5 Regulation at 64 FR 24027 confirmed............................204 960.6 Regulation at 64 FR 24028 confirmed............................204 OMB number......................................................5419 960.7 OMB number....................................................5419 960.8 OMB number....................................................5419 960.9 OMB number....................................................5419 960.10 OMB number...................................................5419 960.11 OMB number...................................................5419 960.13 OMB number...................................................5419 960.15 OMB number...................................................5419 961 Redesignated from 938...........................................8256 Nomenclature change............................................44431 961.1 Amended................................................8265, 44431 961.2 (a)(2), (b) and (c)(1) amended................................8265 (a)(2), (c)(1) and (2) revised.................................44431 961.3 (a) introductory text, (2) and (b) amended....................8265 (a) introductory text and (b) amended; (a)(2) revised..........44431 961.4 (a)(1) and (c) amended........................................8265 (a)(1) amended.................................................44431 961.5 (a)(1)(ii), (iii), (iv), (b)(1) and (2) amended...............8265 (a) revised; (b)(2) amended....................................44431 965--969 (Subchapter H) Established.................................8256 965 Added..........................................................36298 966 Redesignated from 910...........................................8256 Revised........................................................36298 966.0 Redesignated as 966.1.........................................8265 966.1 Redesignated as 966.2; new 966.1 redesignated from 966.0 and amended.....................................................8265 Amended..................................................8266, 43986 966.2 Redesignated as 966.3; new 966.2 redesignated from 966.1; (a) and (b) amended.........................................8265 966.3 Redesignated as 966.4; new 966.3 redesignated from 966.2 and amended.....................................................8265 966.4 Redesignated as 966.5; new 966.4 redesignated from 966.3 and amended.....................................................8265 Amended.........................................................8266 966.5 Redesignated as 966.6; new 966.5 redesignated from 966.4 and amended.....................................................8265 966.6 Redesignated as 966.7; new 966.6 redesignated from 966.5 and amended.....................................................8265 Amended.........................................................8266 966.7 Redesignated as 966.8; new 966.7 redesignated from 966.6; (b)(2) amended..............................................8265 (b) introductory text and (2) amended...........................8266 966.8 Redesignated from 966.7.......................................8265 969 Added...........................................................8266 969.3 Removed......................................................36300 970 Redesignated as 952.............................................8256 975--978 (Subchapter I) Established.................................8256 975 Redesignated from 943...........................................8256 Nomenclature change.............................................8266 975.4 Introductory text amended.....................................8266 977 Added...........................................................8266 978 Added...........................................................8266 980 (Subchapter J) Established......................................8256 Added..........................................................44431 985--989 (Subchapter K) Established.................................8256 985 Redesignated from 941...........................................8256 Revised........................................................36300 985.1 Amended.......................................................8267 985.2 Amended.......................................................8267 985.3 (a) and (b) amended...........................................8267 985.4 (c)(1) amended................................................8267 985.5 Introductory text amended.....................................8267 985.6 (a)(1), (4), (5), (b), (2) and (3) amended....................8267 (a)(4) amended..................................................8268 985.7 Heading, (a), (b), (c) introductory text, (d)(1) through (4), (e)(1), (2), (3), (f)(1)(i) and (ii) amended...........8267 (c)(2) and (f)(2) introductory text, (i), (ii) and (iii) amended.............................................................8268 985.8 Heading, (a), (b) introductory text, (c) and (d)(1) amended 8267 985.9 Heading, (a)(1), (2) and (b) amended..........................8267 985.10 Heading, (a)(1) and (b) amended..............................8267 [[Page 691]] 985.11 (b), (c), (d), (e)(1), (2)(i), (ii), (f)(i), (2)(iii), (3) and (5) amended.............................................8267 985.12 (c) amended..................................................8267 987 Redesignated from 912; heading revised..........................8256 Nomenclature change.............................................8268 987.1 Amended.......................................................8268 987.2 (a) and (b) amended...........................................8268 987.3 (a) introductory text amended.................................8268 987.4 (c)(2) amended................................................8268 987.5 (a) amended...................................................8268 987.6 (b) amended...................................................8268 987.8 (a) and (b) amended...........................................8268 987.9 (a) and (b) amended...........................................8268 989 Redesignated from 937...........................................8256 989.1 Removed.......................................................8268 Added..........................................................36303 989.2 Redesignated as 989.3; new 989.2 added.......................36303 989.3 Redesignated as 989.4; new 989.3 redesignated from 989.2 and revised....................................................36303 989.4 Redesignated from 989.3......................................36303 Amended........................................................36304 995--997 (Subchapter L) Established.................................8256 995.1 Amended.......................................................8268 995.4 (b) amended...................................................8268 995.7 (a) amended...................................................8268 995.8 (b) amended...................................................8268 (c)(1) and (2) amended..........................................8269 996 Redesignated from 955; heading revised..........................8256 996.1 Amended.......................................................8269 996.2 Amended.......................................................8269 997 Added..........................................................17438 997.5 (a) corrected................................................40492 Chapter XI 1102.306 (a)(2)(iv) correctly designated...........................31960 Chapter XV 1500 Added; interim................................................16477 1501 Added; interim................................................14821 1501.2 Added; interim..............................................15052 1510 Revised; interim..............................................12069 Chapter XVII 1700--1705 (Subchapter A) Heading revised..........................81327 1700.2 (c)(1), (2), (3), (5), (6) and (d) revised; (c)(7) and (8) added......................................................39787 1702 Redesignated from 1720........................................81327 1702.1 (a) amended.................................................81327 1702.2 Amended.....................................................81327 1702.4 (a), (a)(2), (b)(1) and (d) amended.........................81327 1702.7 (b) amended.................................................81327 1702.8 (b) and (c) amended.........................................81327 1702.9 (a) amended.................................................81327 1702.10 (b) and (d)(2) amended.....................................81327 1702.11 (a)(4) and (b) amended.....................................81327 1702.12 (a) amended................................................81327 1702.13 (a) and (b) amended........................................81327 1703 Redesignated from 1710........................................81327 1703.1 Amended.....................................................81327 1703.12 (a)(1) and (b) amended.....................................81327 1703.13 (a) amended................................................81327 1703.15 (b)(2) and (4) amended.....................................81327 1703.16 (b) amended................................................81327 1703.17 (b) amended................................................81327 1703.18 (b)(1), (c), (d)(2) and (e)(1) amended.....................81327 1703.21 (b) amended................................................81327 1703.22 (a) amended................................................81327 1703.23 (a), (b), (e) and (g) amended..............................81327 1703.24 (a) and (c)(5) amended.....................................81327 1703.34 (c) amended................................................81327 1703.38 (a) amended................................................81327 1703.40 (b) amended................................................81328 1704 Redesignated from 1730........................................81328 1704.1 (a) and (b)(1) through (4) amended..........................81328 1704.2 Amended.....................................................81328 1704.3 (a) amended.................................................81328 1704.21 (b)(9) and (12)(ii) amended................................81328 1704.23 (a)(4) amended.............................................81328 1704.29 (a)(1)(ii), (iii), (iv), (2) and (2)(iii) amended..........81328 1704.32 (a) amended................................................81328 1704.41 Amended....................................................81328 1704.42 Amended....................................................81328 1704.51 (c) amended................................................81328 1705 Redesignated from 1735........................................81328 1705.3 (a) and (b)(1) amended......................................81328 1705.5 (a) amended.................................................81328 1705.10 (a), (a)(3), (b) and (c) amended...........................81328 1705.11 (a) amended................................................81328 1705.21 (a) amended................................................81328 1705.22 Amended....................................................81328 1705.25 Amended....................................................81328 1705.26 (a), (b), (d) and (e) amended..............................81328 1705.27 Amended....................................................81328 1710 Redesignated as 1703..........................................81327 1710.2 (j) amended.................................................55171 1710.7 (c) amended.................................................55171 1710.11 Revised....................................................55171 [[Page 692]] 1710.12 Revised....................................................55172 1710.13 (a) revised................................................55172 1710.14 (c) amended................................................55173 1710.15 (b)(2) and (3) redesignated as (b)(3) and (4); new (b)(2) added......................................................55173 1710.16 (a), (b) and (d) revised...................................55173 1710.17 Revised....................................................55173 1710.18 (b)(1), (c), (d)(2), (e)(1) and (i)(3) amended.............55174 1710.21 (b) and (f) revised........................................55174 1710.22 Revised....................................................55174 1710.23 (g) revised................................................55174 1710.38 (a) revised................................................55175 1720 Redesignated as 1702..........................................81327 1730 Redesignated as 1704..........................................81328 1735 Added.........................................................26732 Redesignated as 1705...........................................81328 1750--1770 (Subchapter C) Added....................................81329 1780 (Subchpater D) Added..........................................81329 Chapter XVIII 1805 Revised.......................................................49645 [[Page 693]] Redesignation Table I At 51 FR 36684, Oct. 15, 1986, part 304 was revised. In order to enable readers to check the completeness, accuracy, and reasoning behind revised part 304, the following Derivation and Distribution Tables are set forth below. Derivation Table ------------------------------------------------------------------------ New section Old section ------------------------------------------------------------------------ 304.1--new 304.2.................................. 304.3 introductory paragraph. 304.3 introductory paragraph........... 304.1. 304.3(a)............................... 304.3(r). 304.3(b)............................... 304.3(s). 304.3(c)............................... 304.3(t). 304.3(d)............................... 304.3(u). 304.4 introductory paragraph........... 304.2. 304.4(a)............................... 304.3(m), 304.3(o) 304.4(b)............................... 304.3(n), 304.3(p). 304.5 introductory paragraph--new...... ............................... 304.5(a)............................... 304.3(q). 304.5(b)............................... 304.3(v). 304.5(c)............................... 304.3(l). 304.5(d)............................... 304.3(x). 304.5(e)............................... 304.3(y). 304.6(a)(1)............................ 304.4(a)(1). 304.5(a)(2)............................ 304.4(a)(2). 304.5(b)(1)............................ 304.4(b)(1). 304.5(b)(2)............................ 304.4(b)(2). 304.6(b)(3)............................ 304.4(b)(3). 304.6(b)(4)............................ 304.4(b)(4). 304.6(b)(5)............................ 304.4(b)(5). 304.6(b)(6)............................ 304.4(b)(6). 304.7--new............................. ............................... ------------------------------------------------------------------------ Distribution Table ------------------------------------------------------------------------ Old section New section ------------------------------------------------------------------------ 304.1.................................. 304.3 introductory paragraph. 304.2.................................. 304.4 introductory paragraph. 304.3 introductory paragraph........... 304.2. 304.3(a)-(k)........................... Unnecessary. 304.3(l)............................... 304.5(c). 304.3(m)............................... 304.4(a). 304.3(n)............................... 304.4(b). 304.3(o)............................... 304.4(a). 304.3(p)............................... 304.4(b). 304.3(q)............................... 304.5(a). 304.3(r)............................... 304.3(a). 304.3(s)............................... 304.3(b). 304.3(t)............................... 304.3(c). 304.3(u)............................... 304.3(d). 304.3(v)............................... 304.5(b). 304.3(w)............................... Obsolete. 304.3(x)............................... 304.5(d). 304.3(y)............................... 304.5(e). 304.3(a)(1)............................ 304.6(a)(1). 304.3(a)(2)............................ 304.6(a)(2). 304.4(b)(1)............................ 304.6(b)(1). 304.4(b)(2)............................ 304.6(b)(2). 304.4(b)(3)............................ 304.6(b)(3). 304.4(b)(4)............................ 304.6(b)(4). 304.4(b)(5)............................ 304.6(b)(5). 304.4(b)(6)............................ 304.6(b)(6). 304.4(c)............................... Unnecessary. 304.4(d)............................... 304.7. ------------------------------------------------------------------------ [[Page 694]] Redesignation Table II The following table shows the effect of recodification on the regulations contained in 12 CFR part 303 which were revised and redesignated at 52 FR 35411, Sept. 21, 1987. Note.--Derivation Table ------------------------------------------------------------------------ New section Old section (as revised) ------------------------------------------------------------------------ 303.0(a).................................. 303.0(a). 303.0(b)(1) through (3) new 303.0(b)(4)............................... 303.0(b)(1). 303.0(b)(5) through (6) new 303.0(b)(7)............................... 303.0(b)(2). 303.0(b)(8) through (16) new 303.0(b)(17).............................. 303.2(c)(1). 303.0(b)(18) through (23) new 303.0(b)(24).............................. 303.0(b)(3). 303.2(c)(1)............................... 303.2(c)(2)(i). 303.2(c)(2)............................... 303.2(c)(2)(ii). 303.6(b).................................. 303.6(b). 303.6(e)(1)............................... 303.6(e). 303.6(e)(2)............................... 303.6(e). 303.6(l).................................. 303.6(m). 303.6(m).................................. 303.6(n). 303.7(a)(1)(i) through (ii)............... 303.7(a)(6), (c)(1). 303.7(a)(1)(iii).......................... 303.7(c)(1)(i)(A) through (D), (iii). 303.7(a)(1)(iv)........................... 303.10(a). 303.7(a)(2)(i) through (ii) new 303.7(a)(2)(iii).......................... 303.7(c)(6)(ii). 303.7(b)(1) through (2) new 303.7(b)(3)............................... 303.7(c)(5)(i). 303.7(b)(4) through (5) new 303.7(c)(1) through (2)................... 303.7(c)(8). 303.7(c)(3)............................... 303.8(g). 303.7(d)(1)............................... 303.7(c)(2). 303.7(d)(2)............................... 303.7(c)(4). 303.7(d)(3)............................... 303.7(c)(3). 303.7(d)(4)............................... 303.10(a). 303.7(e)(1)............................... 303.7(c)(9). 303.7(e)(2) new 303.7(f).................................. 303.7(a)(1) through (5), (b). 303.8(a).................................. 303.7(c)(1). 303.8(b)(1)............................... 303.11(b). 303.8(b)(2)............................... 303.11(c). 303.8(c).................................. 303.11(d). 303.8(d).................................. 303.11(e). 303.8(e)(1)............................... 303.11(f). 303.8(e)(2)............................... 303.11(g). 303.8(f).................................. 303.11(h). 303.8(g).................................. 303.11(j). 303.9(a) through (e) new 303.9(f).................................. 303.12(d). 303.9(g)(1) new 303.9(g)(2)............................... 303.12(e). 303.9(h).................................. 303.12(c)(10). 303.9(i) new 303.9(j).................................. 303.12(c)(12). 303.9(k)(1)............................... 303.12(a). 303.9(k)(2) new 303.9(k)(3)............................... 303.12(c)(3)(i). 303.9(k)(4) through (6) new 303.9(l).................................. 303.12(b). 303.10(a)(1).............................. 303.11(a). 303.10(a)(2).............................. 303.10(b). 303.10(b) through (c) new 303.11(a)(1).............................. 303.9(a). 303.11(a)(2).............................. 303.7(c). 303.11(b)(1).............................. 303.9(b)(1). 303.11(b)(2)(i)........................... 303.9(b)(1). 303.11(b)(2)(ii) new 303.11(b)(2)(iii)......................... 303.9(b)(2). 303.11(c)................................. 303.12(c)(7). 303.12.................................... 303.13. ------------------------------------------------------------------------ [[Page 695]] Redesignation Table III The following table shows the relationship of former CFR part and section numbers under 12 CFR chapter V and new part and section numbers in 12 CFR chapter III, which were redesignated at 54 FR 42801, Oct. 18, 1989. Note.--Derivation Table ------------------------------------------------------------------------ Former section numbers New section numbers ------------------------------------------------------------------------ Part 548.................................. Part 382 Part 549.................................. Part 383 Part 562.................................. Part 384 563.8-2................................... 385.5 563.15.................................... 385.6 563.16.................................... 385.7 563.16-2.................................. 385.8 563.28.................................... 385.9 563.29-1.................................. 385.1 563.30.................................... 385.2 563.31.................................... 385.3 563.36.................................... 385.4 Part 564.................................. Part 386 564.1..................................... 386.1 564.2..................................... 386.2 564.3..................................... 386.3 564.4..................................... 386.4 564.5..................................... 386.5 564.6..................................... 386.6 564.7..................................... 386.7 564.8..................................... 386.8 564.9..................................... 386.9 564.10.................................... 386.10 564.11.................................... 386.11 Appendix to Part 564...................... Appendix to Part 386 Part 565.................................. Part 387 569a.4.................................... 388.1 569a.5.................................... 388.2 569a.6.................................... 388.3 569a.7.................................... 388.4 569a.8.................................... 388.5 569a.9.................................... 388.6 569a.10................................... 388.7 569a.11................................... 388.8 569a.12................................... 388.9 569a.13................................... 388.10 Part 569c................................. Part 389 570.12.................................... 386.12 570.13.................................... 386.13 Part 572.................................. Part 390 Part 572a................................. Part 391 Part 575.................................. Part 392 Part 575a................................. Part 393 Part 576.................................. Part 394 Part 577.................................. Part 395 Part 578.................................. Part 396 ------------------------------------------------------------------------ [[Page 696]] Redesignation Table IV The Office of Thrift Supervision, Department of the Treasury, reorganized chapter V at 54 FR 49420, November 30, 1989. The following Distribution Table shows the relationship of former section numbers within chapter V to the new section numbers. ---------------------------------------------------------------------------------------------------------------- Previous section Previous title New section New title ---------------------------------------------------------------------------------------------------------------- PART 500 500.1................ General statement 500.1............ General statement and statutory authority. and statutory authority. 500.2................ The Federal Home Removed.......... ................................................ Loan Bank system. 500.3................ The Federal savings 500.3............ The Federal savings association system. and loan system. 500.4................ The Federal Savings Removed.......... ................................................ and Loan Insurance Corporation. .................... 500.4............ Supervision and regulation of savings associations. 500.5................ District of Columbia 500.5............ District of Columbia savings associations. savings and loan associations. 500.6................ General statement 500.6............ General statement concerning gender-related concerning gender- terminology. related terminology. 500.10............... The Board........... Removed.......... ................................................ .................... 500.10........... The Office. 500.11............... Secretary to the 500.11........... Secretary to the Office. Board. 500.12............... Congressional 500.12........... Senior Deputy Director for Congressional Liaison Officer. Relations and Communications. 500.13............... Director of the 500.13........... Senior Deputy Director for Management. Office of Management Systems and Administration. 500.14............... Director of the 500.14........... Chief Economist. Office of Economic Research. 500.15............... Director of the Removed.......... ................................................ Office of Enforcement. 500.16............... Director of the Removed.......... Office of Communications. 500.17............... The General Counsel. 500.17........... The Chief Counsel. 500.19............... Director of the Removed.......... ................................................ Office of District Banks. 500.19........... Senior Deputy Director for Supervision (Operations). 500.20............... Director of the Removed.......... Office of the Federal Savings and Loan Insurance Corporation. 500.20........... Senior Deputy Director for Supervision (Policy). 500.22............... Director of the Removed.......... ................................................ Office of Housing and Urban Affairs. 500.30............... General statement 500.30........... General statement concerning procedures and concerning forms. procedures and forms. 500.31............... Forms............... Removed.......... ................................................ 500.32............... Offices of the 500.32........... Offices of the Office of Thrift Supervision; Board; information information and submittals. and submittals. 500.40............... Director of the Removed.......... ................................................ Office of the Federal Savings and Loan Insurance Corporation. PART 501 501.1................ Claims of the Board Removed.......... ................................................ and the Federal Savings and Loan Insurance Corporation. 501.2................ Assessments......... Removed.......... ................................................ 501.10............... Officers as agents.. Removed.......... ................................................ 501.11............... Designation of Removed.......... principal supervisory agent and supervisory agents. PART 502 502.1............ Interim assessments and fees. PART 505 505.1................ Basis and scope..... 505.1............ Basis and scope. 505.2................ Definitions......... Removed.......... ................................................ 505.2............ Public reading room. 505.3................ Published Removed.......... ................................................ information. [[Page 697]] 505.3............ Requests for records. 505.4................ Access to records... Removed.......... ................................................ .................... 505.4............ Administrative appeal of initial determination to deny records. 505.5................ Information not Removed.......... ................................................ disclosed. .................... 505.5............ Delivery of process. 505.6................ Subpoenas........... Removed.......... PART 505a PART 503 505a.1............... Purpose and scope... 503.1............ Scope and procedures. 505a.2............... Definitions as used Removed.......... ................................................ in this part 505a. 505a.3............... Procedures or Removed.......... ................................................ requests pertaining to individual records in a record system. 505a.4............... Times, places, and Removed.......... ................................................ requirements for identification of individuals making requests. 505a.5............... Disclosure of Removed.......... ................................................ requested information to individuals. 505a.6............... Special procedures Removed.......... ................................................ for medical records. 505a.7............... Request for Removed.......... ................................................ amendment of record. 505a.8............... Agency review of Removed.......... ................................................ request for amendment of record. 505a.9............... Appeals............. Removed.......... ................................................ 505a.10.............. Fees for providing Removed.......... ................................................ copies of records. 505a.11.............. Criminal penalties.. Removed.......... ................................................ 505a.12.............. Exemptions.......... Removed.......... ................................................ 505a.13.............. Exemptions of Removed.......... ................................................ records containing investigatory material compiled for law enforcement purposes. PART 505b 505b.1............... Purpose and scope... Removed.......... ................................................ 505b.2............... Definitions......... Removed.......... ................................................ 505b.3............... Open meetings....... Removed.......... ................................................ 505b.4............... Exemptions.......... Removed.......... ................................................ 505b.5............... Closed meetings..... Removed.......... ................................................ 505b.6............... Public announcements Removed.......... ................................................ of meetings. 505b.7............... Accommodation for Removed.......... ................................................ public attendance at open meetings. PART 505c PART 504 505c.1............... Purpose and scope... 504.1............ Purpose and scope. 505c.2............... Policy.............. 504.2............ Policy. 505c.3............... Administration of 504.3............ Administration of program. program. 505c.4............... Mandatory review 504.4............ Mandatory review procedure. procedure. PART 505d 505d.1............... OMB control numbers Removed.......... ................................................ assigned pursuant to the Paperwork Reduction Act. PART 506 PART 910 506.1................ Issuance of Removed.......... (FHFB-910.1). consolidated bonds. 506.2................ Form of consolidated Removed.......... (FHFB-910.2). bonds. 506.3................ Transactions in Removed.......... (FHFB-910.3). consolidated bonds. 506.4................ Lost, stolen, Removed.......... (FHFB-910.4). destroyed, mutilated, or defaced bonds. 506.5................ Administrative Removed.......... (FHFB-910.5). provision. 506.6................ Reservation of right Removed.......... (FHFB-910.6). to revoke or amend; limitation thereon. PART 506a PART 912 506a.1............... Definition of terms. Removed.......... (FHFB-912.1). 506a.2............... Authority of Reserve Removed.......... (FHFB-912.2). Banks. 506a.3............... Scope and effect of Removed.......... (FHFB-912.3). book-entry procedure. 506a.4............... Transfer or pledge.. Removed.......... (FHFB-912.4). 506a.5............... Withdrawal of Removed.......... (FHFB-912.5). Federal Home Loan Bank Securities. 506a.6............... Delivery of Federal Removed.......... (FHFB-912.6). Home Loan Bank Securities. 506a.7............... Registered bonds and Removed.......... (FHFB-912.7). notes. 506a.8............... Servicing book-entry Removed.......... (FHFB-912.8). Federal Home Loan Bank securities; payment of interest; payment at maturity or on call. 506a.9............... Obligation of United Removed.......... (FHFB-912.9). States with respect to Federal Home Loan Bank securities. PART 507 [[Page 698]] 507.10............... Hearings on Removed.......... ................................................ regulations for Federal Home Loan Banks. 507.11............... Recommendations and Removed.......... ................................................ representations at hearings by. PART 508 508.10............... Reservation of right 510.2(a)......... Amendments. to amend. 508.10-1............. Waiver or relaxation 510.2(b)......... Waiver or relaxation of regulatory provisions of regulatory with respect to disaster or emergency areas. provisions with respect to disaster or emergency areas. 508.11............... Amendments of Removed.......... ................................................ regulations without notice. 508.12............... Notice of proposed Removed.......... ................................................ amendments or regulations not within Sec. 508.11. 508.13............... Participation of 510.2(c)......... Bar on participation in notice and comment interested persons rulemaking by suspended or disbarred persons. in a proposed amendment or rule. 508.14............... Effective dates of Removed.......... ................................................ amendments and rules. 508.15............... Repeal of rules and Removed.......... ................................................ regulations. 508.16............... Coordination of 510.3............ Coordination of chapters. chapters. PART 509 509.1................ Scope of regulations 509.1............ Scope of regulations. 509.2................ Definitions......... 509.2............ Definitions. 509.3................ Appointment of 509.3............ Appointment of Administrative Law Judge. Administrative Law Judge. 509.4................ Authority of the 509.4............ Authority of the Administrative Law Judge. Administrative Law Judge. 509.5................ Appearance and 509.5............ Appearance and practice in adjudicatory practice in proceedings. adjudicatory proceedings. 509.6................ Good faith 509.6............ Good faith certification. certification. 509.7................ Ex parte 509.7............ Ex parte communications. communications. 509.8................ Maintenance of the 509.8............ Maintenance of the record. record. 509.9................ Service............. 509.9............ Service. 509.10............... Filing of papers.... 509.10........... Filing of papers. 509.11............... Formal requirements 509.11........... Formal requirements as to papers filed. as to papers filed. 509.12............... Computing time...... 509.12........... Computing time. 509.13............... Notice.............. 509.13........... Notice. 509.14............... Answer.............. 509.14........... Answer. 509.15............... Amending pleadings.. 509.15........... Amending pleadings. 509.16............... Consolidation and 509.16........... Consolidation and severance of proceedings. severance of proceedings. 509.17............... Motions............. 509.17........... Motions. 509.18............... Interlocutory review 509.18........... Interlocutory review. 509.19............... Prehearing 509.19........... Prehearing conference and exchange of conference and information. exchange of information. 509.20............... Opportunity for 509.20........... Opportunity for informal settlement. informal settlement. 509.21............... Discovery........... 509.21........... Discovery. 509.22............... Subpoenas for 509.22........... Subpoenas for documentary or physical evidence documentary or or for witness attendance. physical evidence or for witness attendance. 509.23............... Depositions......... 509.23........... Depositions. 509.24............... Conduct of hearings. 509.24........... Conduct of hearings. 509.25............... Private and public 509.25........... Private and public hearings. hearings. 509.26............... Summary disposition. 509.26........... Summary disposition. 509.27............... Proposed findings of 509.27........... Proposed findings of fact and conclusions of fact and law. conclusions of law. 509.28............... Briefs.............. 509.28........... Briefs. 509.29............... Exceptions.......... 509.29........... Exceptions. 509.30............... Oral argument before 509.30........... Oral argument before the Office. the Board. 509.31............... Notice of submission 509.31........... Notice of submission to the Office. to the Board. 509.32............... Decision of the 509.32........... Decision of the Office. Board. 509.33............... Scope............... 509.33........... Scope. 509.34............... Notice of 509.34........... Notice of assessment; request for hearing; assessment; request answer. for hearing; answer. 509.35............... Notice of hearing... 509.35........... Notice of hearing. 509.36............... Assessment orders... 509.36........... Assessment orders. 509.37............... Payment of civil 509.37........... Payment of civil penalty. penalty. 509.38............... Relevant 509.38........... Relevant considerations. considerations. PART 509a PART 508 509a.1............... Scope............... 508.1............ Scope. 509a.2............... Definitions......... 508.2............ Definitions. 509a.3............... Issuance of Notice 508.3............ Issuance of Notice or Order. or Order. 509a.4............... Contents and service 508.4............ Contents and service of the Notice or Order. of the Notice or Order. 509a.5............... Petition for hearing 508.5............ Petition for hearing. 509a.6............... Initiation of 508.6............ Initiation of hearing. hearing. 509a.7............... Conduct of hearings. 508.7............ Conduct of hearings. 509a.8............... Default............. 508.8............ Default. [[Page 699]] 509a.9............... Rules of evidence... 508.9............ Rules of evidence. 509a.10.............. Burden of persuasion 508.10........... Burden of persuasion. 509a.11.............. Relevant 508.11........... Relevant considerations. considerations. 509a.12.............. Proposed findings 508.12........... Proposed findings and conclusions and and conclusions and recommended decision. recommended decision. 509a.13.............. Decision of the 508.13........... Decision of the Office. Board. 509a.14.............. Miscellaneous....... 508.14........... Miscellaneous. PART 509b [Previously Removed] ................. ................................................ PART 510 510.1................ Provisions relating 510.1............ Provisions relating to ex parte communications. to ex parte communications. PART 510a PART 515 510a.1............... Purpose and scope... 515.1............ Purpose and scope. 510a.2............... Contact person for 515.2............ Contact person for missing children photographs missing children on penalty mail. photographs on penalty mail. 510a.3............... Policy and 515.3............ Policy and implementation. implementation. 510a.4............... Responsibility of 515.4............ Responsibility of Board administrative unit for Board implementation and procedure governing use of administrative unit penalty mail in location of missing children. for implementation and procedure governing use of penalty mail in location of missing children. 510a.5............... Exceptions to use of 515.5............ Exceptions to use of missing children missing children photographs and biographical data on penalty photographs and mail. biographical data on penalty mail. 510a.6............... Expiration date..... 515.6............ Expiration date. PART 511 511.735-1............ Purpose............. Removed.......... 511.735-2............ Definition.......... Removed.......... 511.735-3............ Effective date and Removed.......... distribution. 511.735-4............ Counseling.......... Removed.......... 511.735-10........... General prohibitions Removed.......... 511.735-11........... Gifts, Removed.......... entertainment, favors and loans. 511.735-12........... Soliciting Removed.......... contributions; accepting and giving gifts. 511.735-13........... Accepting gifts from Removed.......... foreign governments. 511.735-14........... Outside employment Removed.......... and other activities. 511.735-15........... Receipt of salary or Removed.......... compensation for service to Agency. 511.735-16........... Payments to Board Removed.......... ................................................ Members. 511.735-17........... Financial interest.. Removed.......... ................................................ 511.735-18........... Use of Agency Removed.......... ................................................ property. 511.735-19........... Misuse of Removed.......... ................................................ information. 511.735-20........... Indebtedness........ Removed.......... ................................................ 511.735-21........... Gambling, betting Removed.......... ................................................ and lotteries. 511.735-22........... General conduct Removed.......... ................................................ prejudicial to the Government. 511.735-25........... Use of Agency Removed.......... ................................................ employment. 511.735-26........... Use of inside Removed.......... ................................................ information. 511.735-27........... Coercion............ Removed.......... ................................................ 511.735-28........... Gifts, entertainment Removed.......... ................................................ and favors. 511.735-29........... Other provisions Removed.......... ................................................ applicable to special Government employees. 511.735-35........... Filing and review of Removed.......... ................................................ statements of employment and financial interests. 511.735-36........... Employees required Removed.......... ................................................ to submit statements. 511.735-36a.......... Employees complaint Removed.......... ................................................ on filing requirement. 511.735-37........... Board Members not Removed.......... ................................................ required to submit statements. 511.735-38........... Time and place for Removed.......... ................................................ submission of employees' statements. 511.735-39........... Supplementary Removed.......... ................................................ statements. 511.735-40........... Interests of Removed.......... ................................................ employees' relatives. 511.735-41........... Information not Removed.......... ................................................ known by employees. 511.735-42........... Information not Removed.......... ................................................ required. 511.735-43........... Effect of employees' Removed.......... ................................................ statements on other requirements. 511.735-44........... Specific provisions Removed.......... ................................................ of Agency regulations for special. 511.735-50........... Reporting unresolved Removed.......... ................................................ conflicts of interest. 511.735-51........... Opportunity to be Removed.......... ................................................ heard. 511.735-52........... Action by the Removed.......... ................................................ Chairman. [[Page 700]] 511.735-53........... Violations of this Removed.......... ................................................ part cause for disciplinary action. 511.735-54........... Remedial action to Removed.......... ................................................ be effected in accordance with law and regulation. 511.735-55........... Miscellaneous Removed.......... ................................................ statutory provisions. 511.737-1............ Applicable Removed.......... ................................................ provisions of law. 511.737-2............ Enforcement Removed.......... ................................................ proceedings. 512.1................ Scope of part....... 512.1............ Scope of part. 512.2................ Definitions......... 512.2............ Definitions. 512.3................ Confidentiality of 512.3............ Confidentiality of proceedings. proceedings. 512.4................ Transcripts......... 512.4............ Transcripts. 512.5................ Rights of witnesses. 512.5............ Rights of witnesses. 512.6................ Obstruction of the 512.6............ Obstruction of the proceedings. proceedings. 512.7................ Subpoenas........... 512.7............ Subpoenas. PART 513 513.1................ Scope of part....... 513.1............ Scope of part. 513.2................ Definitions......... 513.2............ Definitions. 513.3................ Who may practice.... 513.3............ Who may practice. 513.4................ Suspension and 513.4............ Suspension and debarment. debarment. 513.5................ Reinstatement....... 513.5............ Reinstatement. 513.6................ Duty to file 513.6............ Duty to file information concerning adverse information judicial or administrative action. concerning adverse judicial or administrative action. 513.7................ Proceeding under 513.7............ Proceeding under this part. this part. PART 514 514.1................ Scope............... Removed.......... ................................................ 514.2................ Definitions......... Removed.......... ................................................ 514.3................ Duties and Removed.......... ................................................ responsibilities of the Advisory Committee. 514.4................ Membership.......... Removed.......... ................................................ 514.5................ Vacancies........... Removed.......... ................................................ 514.6................ Chairperson Removed.......... ................................................ responsibilities and duties. 514.7................ Meeting procedures.. Removed.......... ................................................ 514.8................ Travel expense Removed.......... ................................................ reimbursement. 514.9................ Conflict of interest Removed.......... ................................................ and disclosure of sensitive information. 514.10............... Advisory Committee Removed.......... ................................................ responsibility for safe-guarding sensitive information. 514.11............... Execution of Removed.......... ................................................ agreement with Corporation. PART 516 516.100.............. Purpose............. Removed.......... ................................................ 516.105.............. Definitions......... Removed.......... ................................................ 516.110.............. Coverage............ Removed.......... ................................................ 516.115.............. Policy.............. Removed.......... ................................................ 516.200.............. Debarment or Removed.......... ................................................ suspension. 516.205.............. Ineligible persons.. Removed.......... ................................................ 516.210.............. Voluntary exclusion. Removed.......... ................................................ 516.215.............. Exception provision. Removed.......... ................................................ 516.220.............. Continuation of Removed.......... ................................................ covered transactions. 516.225.............. Failure to adhere to Removed.......... ................................................ restrictions. 516.300.............. General............. Removed.......... ................................................ 516.305.............. Causes for debarment Removed.......... ................................................ 516.310.............. Procedures.......... Removed.......... ................................................ 516.311.............. Investigation and Removed.......... ................................................ referral. 516.312.............. Notice of proposed Removed.......... ................................................ debarment. 516.313.............. Opportunity to Removed.......... ................................................ contest proposed debarment. 516.314.............. Debarring official's Removed.......... ................................................ decision. 516.315.............. Settlement of Removed.......... ................................................ voluntary exclusion. 516.320.............. Period of debarment. Removed.......... ................................................ 516.325.............. Scope of debarment.. Removed.......... ................................................ 516.400.............. General............. Removed.......... ................................................ 516.405.............. Causes for Removed.......... ................................................ suspension. 516.410.............. Procedures.......... Removed.......... ................................................ 516.411.............. Notice of suspension Removed.......... ................................................ 516.412.............. Opportunity to Removed.......... ................................................ contest suspension. 516.413.............. Suspending Removed.......... ................................................ official's decision. 516.415.............. Period of suspension Removed.......... ................................................ 516.420.............. Scope of suspension. Removed.......... ................................................ 516.500.............. GSA responsibilities Removed.......... ................................................ 516.505.............. Board Removed.......... ................................................ responsibilities. 516.510.............. Participants' Removed.......... ................................................ responsibilities. [[Page 701]] 516.600.............. Purpose............. Removed.......... ................................................ 516.605.............. Definitions......... Removed.......... ................................................ 516.610.............. Coverage............ Removed.......... ................................................ 516.615.............. Grounds for Removed.......... ................................................ suspension of payments, suspension or termination of grants, or suspension or debarment. 516.620.............. Effect of violation. Removed.......... ................................................ 516.625.............. Exception provision. Removed.......... ................................................ 516.630.............. Grantees' Removed.......... ................................................ responsibilities. Appendix A........... Certification Removed.......... ................................................ regarding debarment, suspension, and other responsibility matters--Primary covered transaction. Appendix B........... Certification Removed.......... ................................................ regarding debarment, suspension, ineligibility and voluntary exclusion--Lower tier covered transactions. Appendix C........... Certification Removed.......... ................................................ regarding drug-free workplace requirements. PART 521 PART 931 521.1................ Act................. Removed.......... (FHFB-931.1). 521.2................ Bank................ Removed.......... (FHFB-931.2). 521.3................ Board............... Removed.......... (FHFB-931.3). 521.4................ Creditor liabilities Removed.......... (FHFB-931.4). 521.5................ Deposits in banks or Removed.......... (FHFB-931.5). trust companies. 521.6................ Home mortgage....... 561.23........... Home mortgage. 521.6-1.............. Home................ Removed.......... (FHFB-931.7). 521.6-2.............. Other dwelling unit. Removed.......... (FHFB-931.8). 521.7................ Member.............. Removed.......... (FHFB-931.9). 521.8................ [Previously Removed] ................. ................................................ 521.9................ Obligations of the Removed.......... (FHFB-931.11). United States. 521.10............... Paid-in value of Removed.......... (FHFB-931.12). stock in a Bank. 521.11............... State............... Removed.......... (FHFB-931.13). PART 522 PART 932 522.1................ Charter............. Removed.......... (FHFB-932.1). 522.5................ Par value and price Removed.......... (FHFB-932.2). of stock. 522.6................ Dividends........... Removed.......... (FHFB-932.3). 522.10............... Issuance and form of Removed.......... (FHFB-932.4). stock. 522.11............... Stock in Removed.......... (FHFB-932.5). consolidations. 522.12............... Stock in Removed.......... (FHFB-932.6). reorganizations. 522.13............... Loss or destroyed Removed.......... (FHFB-932.7). certificates. 522.20............... General............. Removed.......... (FHFB-932.8). 522.21............... Director Removed.......... (FHFB-932.9). representing Puerto Rico. 522.22............... Definition of member Removed.......... (FHFB-932.10). 522.23............... Location of member.. Removed.......... (FHFB-932.11). 522.24............... Report of stock Removed.......... (FHFB-932.12). investment. 522.25............... Designation and Removed.......... (FHFB-932.13). nomination of elective directorship. 522.26............... Election of Removed.......... (FHFB-932.14). directors. 522.26a.............. Special provisions Removed.......... ................................................ for election of directors during calendar year 1988. 522.27............... Prohibition of Removed.......... (FHFB-932.15). actions influencing votes. 522.28............... Definition of Removed.......... (FHFB-932.16). ``State''. 522.30............... Special scheduling Removed.......... ................................................ provisions for election of directors during calendar year 1989. 522.60............... Compensation........ Removed.......... (FHFB-932.27). 522.61............... Duties.............. Removed.......... (FHFB-932.28). 522.62............... Responsibility of Removed.......... (FHFB-932.29). bank directors. 522.70............... Selection........... Removed.......... (FHFB-932.40). 522.71............... Compensation........ Removed.......... (FHFB-932.41). 522.72............... Indemnification..... Removed.......... (FHFB-932.42). 522.73............... Restrictions as to Removed.......... (FHFB-932.43). former employees. 522.75............... General............. Removed.......... (FHFB-932.50). 522.76............... President........... Removed.......... (FHFB-932.51). 522.80............... General............. Removed.......... (FHFB-932.55). 522.81............... Functions of Office Removed.......... (FHFB-932.56). of Finance. 522.82............... Budget and expenses. Removed.......... (FHFB-932.57). 522.83............... [Previously Revoked] ................. ................................................ 522.85............... General............. Removed.......... (FHFB-932.60). 522.86............... Functions and duties Removed.......... (FHFB-932.61). of Office of Neighborhood Reinvestment. 522.87............... Budget and expenses. Removed.......... (FHFB-932.62). 522.90............... Office of Regulatory Removed.......... (FHFB-932.65). Policy, Oversight, and Supervision. [[Page 702]] PART 523 PART 933 523.1................ Application form.... Removed.......... (FHFB-933.1). 523.2................ [Previously Removed] ................. ................................................ 523.3................ Board action on Removed.......... (FHFB-933.3). applications. 523.3-1.............. Automatic board Removed.......... (FHFB-933.4). approval in certain cases. 523.3-2.............. Membership at Removed.......... (FHFB-933.5). principal place of business designation, transfer of membership. 523.3-3.............. Delegations......... Removed.......... (FHFB-933.6). 523.4................ Subscription........ Removed.......... (FHFB-933.7). 523.5................ Additional Removed.......... (FHFB-933.8). subscription. 523.6................ Adjustments in Removed.......... (FHFB-933.9). holdings. 523.7................ Excess subscription. Removed.......... (FHFB-933.10). 523.8................ Payment on Removed.......... (FHFB-933.11). subscription. 523.9................ [Previously Deleted] ................. ................................................ 523.10............... Definitions for 566.1............ Definitions. purposes of this Section, Sec. 523.11 and Sec. 523.12. 523.11............... Liquidity 566.2............ Requirements. requirements. 523.12............... Deficiencies and 566.3............ Deficiencies and penalties. penalties. 523.13............... Reports; records.... 566.4............ Reports; records. 523.14............... Payment of penalty.. 566.5............ Payment of penalty. 523.15............... Reports............. Removed.......... (FHFB-933.18). 523.20............... Examinations of Removed.......... (FHFB-933.22). members. 523.25............... Official membership Removed.......... (FHFB-933.27). insignia. 523.29............... Flood disaster 563.48........... Flood disaster protection. protection. 523.30............... Procedure for Removed.......... (FHFB-933.32). withdrawal. 523.31............... Procedure for Removed.......... (FHFB-933.33). removal. 523.32............... [Previously Deleted] ................. ................................................ PART 524 PART 934 524.1................ Investments......... Removed.......... (FHFB-934.1). 524.2................ Loans guaranteed Removed.......... (FHFB-934.2). under the Foreign Assistance Act of 1961. 524.3................ Transfer of funds Removed.......... (FHFB-934.3). between banks. 524.4................ Deposits from Removed.......... (FHFB-934.4). members. 524.5................ Trustee powers...... Removed.......... (FHFB-934.5). 524.6................ Budgets............. Removed.......... (FHFB-934.6). 524.7................ Surety bonds........ Removed.......... (FHFB-934.7). 524.8................ Insurance........... Removed.......... (FHFB-934.8). 524.9................ Safe-keeping Removed.......... (FHFB-934.9). accounts. 524.10............... Securities held in Removed.......... (FHFB-934.10). trust or as collateral. 524.11............... Donations........... Removed.......... (FHFB-934.11). 524.12............... Accounting.......... Removed.......... (FHFB-934.12). 524.13............... Gold and gold- Removed.......... (FHFB-934.13). related transactions. PART 525--ADVANCES PART 935 525.1................ Limitations on Removed.......... (FHFB-935.1). advances. 525.2................ Extension of credit. Removed.......... (FHFB-935.2). 525.3................ Interest rates...... Removed.......... (FHFB-935.3). 525.4................ Bank stock Removed.......... (FHFB-935.4). collateral. 525.5................ Gold and gold- Removed.......... (FHFB-935.5). related securities ineligible as collateral. 525.6................ Terms of advances... Removed.......... (FHFB-935.6). 525.7................ Collateral securing Removed.......... (FHFB-935.7). advances. 525.8................ Determination of Removed.......... (FHFB-935.8). value of collateral. 525.9................ Additional Removed.......... (FHFB-935.9). collateral. 525.10............... Short term advances. Removed.......... (FHFB-935.10). 525.33............... Lines of credit..... Removed.......... (FHFB-935.30). 525.34............... Eligible Removed.......... (FHFB-935.31). institutions. 525.35............... Rates of interest... Removed.......... (FHFB-935.32). 525.36............... Application for Removed.......... (FHFB-935.33). advances. PART 526 526.1................ Definitions......... See below........ ................................................ 526.1(a)............. Member.............. Removed.......... ................................................ 526.1(b)............. Certificate account. 561.9............ Certificate account. 526.1(c)............. Savings account..... 561.42........... Savings account. 526.1(d)............. Tax and loan account 561.52........... Tax and loan account. 526.1(e)............. Note account........ 561.33........... Note account. 526.1(f)............. United States 561.53........... United States Treasury General Account. Treasury general account. 526.1(g)............. United States 561.54........... United States Treasury Time Deposit Open Treasury time Account. deposit open account. 526.2................ Advertising interest 563.27........... Advertising. or dividends on savings accounts. [[Page 703]] PART 527 PART 937 527.1................ General............. Removed.......... (FHFB-937.1). 527.2................ Definitions......... Removed.......... (FHFB-937.2). 527.3................ Middle-income Removed.......... (FHFB-937.3). families. 527.4................ Low-income families. Removed.......... (FHFB-937.4). 527.5................ Credits to member Removed.......... (FHFB-937.5). institutions. 527.6................ Disbursement of Removed.......... (FHFB-937.6). funds to Banks. 527.7................ Retention of Removed.......... (FHFB-937.7) documents. 527.8................ Recertification of Removed.......... (FHFB-937.8). income. PART 528 528.1................ Definitions......... 528.1............ Definitions. 528.1a............... Supplementary 528.1a........... Supplementary guidelines. guidelines. 528.2................ Nondiscrimination in 528.2............ Nondiscrimination in lending and other services. lending and other services. 528.2a............... Nondiscriminatory 528.2a........... Nondiscriminatory appraisal and underwriting. appraisal and underwriting. 528.3................ Nondiscrimination in 528.3............ Nondiscrimination in applications. applications. 528.4................ Nondiscriminatory 528.4............ Nondiscriminatory advertising. advertising. 528.5................ Equal Housing Lender 528.5............ Equal Housing Lender poster. poster. 528.6................ Monitoring 528.6............ Monitoring information. information. Appendix A........... Association Appendix A....... ................................................ instructions for preparation of loan. to Sec. 528.6...... application to Sec. 528.6.. ................................................ registers. Appendix B........... Association Appendix B....... ................................................ instructions for preparation of data. to Sec. 528.6...... submission report... to Sec. 528.6.. ................................................ 528.7................ Nondiscrimination in 528.7............ Nondiscrimination in employment. employment. 528.8................ Complaints.......... 528.8............ Complaints. PART 529 5291................. Purpose............. 529.1............ Purpose. 529.2................ Definitions......... 529.2............ Definitions. 529.3................ Application of this 529.3............ Application of this part. part. 529.4................ Discrimination 529.4............ Discrimination prohibited. prohibited. 529.5................ Assurances required. 529.5............ Assurances required. 529.6................ Compliance 529.6............ Compliance information. information. 529.7................ Conduct of 529.7............ Conduct of investigations. investigations. 529.8................ Procedure for 529.8............ Procedure for effecting compliance. effecting compliance. 529.9................ Hearings............ 529.9............ Hearings. 529.10............... Decisions and 529.10........... Decisions and notices. notices. 529.11............... Judicial review..... 529.11........... Judicial review. 529.12............... Effect on other 529.12........... Effect on other regulations. regulations. Appendix A........... Activities to which Appendix......... ................................................ this part applies. PART 531 PART 940 531.1................ Policy on advance to Removed.......... (FHFB-940.1). members. 531.2................ Policy on Federal Removed.......... (FHFB-940.2). Savings and Loan Insurance Corporation--guaran teed advances and loans to the Federal Savings and Loan Insurance Corporation. 531.3................ [Previously Deleted] ................. ................................................ 531.4................ Assigned collateral; Removed.......... (FHFB-940.3). verification. 531.5................ [Previously Deleted] ................. ................................................ 531.6................ [Previously Deleted] ................. ................................................ 531.7................ [Previously ................. ................................................ Reserved]. 531.8................ Guidelines relating 571.24........... Guidelines relating to nondiscrimination in to lending. nondiscrimination in lending. 531.9................ Interest rates on Removed.......... (FHFB-940.5). advances. 531.10............... Accepting pooled 571.25........... Accepting pooled accounts. accounts. 531.12............... Transfer and Removed.......... repurchase of government securities [Redesignated as FSLIC-Insured Institution regulation, 12 CFR 563.8-4, [sec] 4668, effective May 27, 1982]. PART 532 532.1................ Payment in gold or 571.17........... Payment in gold ot its equivalent. its equivalent. PART 533 533.1................ Electronic fund 533.1............ Electronic fund transfers subject to Regulation transfers subject E. to Regulation E. [[Page 704]] PART 534 PART 943 534.1................ Authority and scope. Removed.......... (FHFB-943.1). 534.2................ Definitions......... Removed.......... (FHFB-943.2). 534.3................ General provisions.. Removed.......... (FHFB-943.3). 534.4................ Incidental powers... Removed.......... (FHFB-943.4). 534.5................ Operations.......... Removed.......... (FHFB-943.5). 534.6................ Pricing of services. Removed.......... (FHFB-943.6). 534.7................ Rights, powers, Removed.......... (FHFB-943.7). responsibilities, duties and liabilities. PART 535 535.1................ Definitions......... 535.1............ Definitions. 535.2................ Unfair credit 535.2............ Unfair credit practices. contract provisions. 535.3................ Unfair or deceptive 535.3............ Unfair or deceptive cosigner practices. cosigner practices. 535.4................ Late charges........ 535.4............ Late charges. 535.5................ State exemptions.... 535.5............ State exemptions. PART 541 541.1................ General............. 541.1............ General. 541.2................ Act................. 541.2............ Act. 541.3................ Combination of 541.4............ Combination of residential real estate and residential real business property involving only minor or estate and business incidental business use. property involving only minor or incidental business use. 541.4................ Combination of home 541.3............ Combination of home and business property. and business property. 541.5................ Cooperative housing 541.6............ Cooperative housing development. development. 541.6................ Director............ Removed.......... ................................................ 541.7................ Dwelling unit....... 541.10........... Dwelling unit. 541.8................ Federal association. 541.11........... Federal savings association. 541.9................ Interim Federal 541.18........... Interim Federal savings association. association. 541.9............ District Director. 541.10............... Interim state 541.19........... Interim state savings association. institution. 541.11............... Insured institution. Removed.......... ................................................ 541.12............... General reserves.... 541.12........... General reserves. 541.13............... Guaranteed loan..... 541.13........... Guaranteed loan. 541.14............... Home................ 541.14........... Home. 541.15............... Improved residential 541.16........... Improved residential real estate. real estate. 541.16............... Insured loan........ 541.17........... Insured loan. 541.17............... Regulatory capital.. Removed.......... 541.18............... Principal Removed.......... Supervisory Agent. 541.19............... Short-term savings 541.24........... Short-term savings account. account. 541.20............... Single-family 541.25........... Single-family dwelling. dwelling. 541.21............... Supervisory Agent... Removed.......... ................................................ 541.22............... Surplus............. 541.26........... Surplus. 541.22........... [Reserved] 541.23............... Withdrawal value of 541.28........... Withdrawal value of a savings account. a savings account. 541.24............... Loans............... 541.20........... Loans. 541.25............... Commercial paper.... 541.5............ Commercial paper. 541.26............... Corporate debt 541.7............ Corporate debt security. security. 541.27............... Unimproved real 541.27........... Unimproved real estate. estate. 541.28............... Debit card.......... 541.8............ Debit card. 541.29............... Residential real 541.23........... Residential real estate. estate. 541.30............... Nonresidential real 541.21........... Nonresidential real estate. estate. 541.31............... Improved 541.15........... Improved nonresidential real estate. nonresidential real estate. PART 542--[Removed] PART 543 543.1................ Corporate title..... 543.1............ Corporate title. 543.2................ Application for 543.2............ Application for permission to organize. permission to organize. 543.3................ [Removed December ................. ................................................ 15, 1982]. 543.4................ [Removed December ................. ................................................ 15, 1982]. 543.5................ Issuance of Charter. 543.5............ Issuance of charter. 543.6................ Completion of 543.6............ Completion of organization. organization. 543.7................ Limitations on 543.7............ Limitations on transaction of business. transaction of business. 543.7-1.............. Federal association 543.7-1.......... Federal savings association created in proposed by Federal connection with an association in default or in Savings and Loan danger of default. Insurance Corporation. 543.8................ General............. 543.8............ Conversion from State mutual charter to Federal charter. 543.9................ Application......... 543.9............ Application for Conversion to Federal mutual charter. 543.10............... Organization after 543.10........... Organization after conversion. conversion. [[Page 705]] 543.11............... Organization plan 543.11........... Organization plan for governance during first for governance years after issuance of Federal mutual savings during first years bank charter. after issuance of Federal mutual savings bank charter. 543.11-1............. Grandfathered 543.11-1......... Grandfathered authority. authority. 543.12............... FDIC-insured federal 543.12........... BIF-insured Federal savings banks. savings banks. 543.13............... Notice to FDIC...... 543.13........... Notice to FDIC. 543.14............... Continuity of 543.14........... Continuity of existence. existence. PART 544 544.1................ Federal mutual 544.1............ Federal mutual charter. charter. 544.2................ Charter amendments.. 544.2............ Charter amendments. 544.2-1.............. [Previously Removed] ................. ................................................ 544.2-2.............. [Previously Removed] ................. ................................................ 544.3................ Adoption of new 544.3............ Adoption of new federal charter by a federal federal charter by savings association. a federal association. 544.4................ Issuance of charter. 544.4............ Issuance of charter. 544.5................ Federal mutual 544.5............ Federal mutual savings association by laws. association bylaws. 544.5-1.............. [Previously Removed] ................. ................................................ 544.6................ Effect of subsequent 544.6............ Effect of subsequent charter or bylaw change. charter or bylaw change. 544.6-1.............. [Previously Removed] ................. ................................................ 544.7................ In association 544.7............ In association offices. offices. 544.8................ References to old 544.8............ References to old and new charters; rules and new charters; applicable to trustees of Federal mutual rules applicable to savings banks. trustees of federal mutual savings banks. 544.9................ Obsolete charter 544.9............ Obsolete charter provision for Charter B provision for associations. Charter B associations. Appendix............. Model bylaws for Appendix......... Model bylaws for mutual savings associations. mutual institutions. PART 545 545.1................ General authority... 545.1............ General authority. 545.2................ Federal preemption.. 545.2............ Federal preemption. 545.3-545.9.......... [Reserved].......... 545.3.-545.9..... [Reserved]. 545.10........... Savings deposits or shares. 545.11............... Insured accounts.... 545.11........... Issuance of accounts. 545.12............... Demand deposit 545.12........... Demand deposit accounts. accounts. 545.13............... Account records..... 545.13........... Account records. 545.14............... Determination and 545.14........... Determination and distribution of earnings. distribution of earnings. 545.15............... Withdrawals......... 545.15........... Withdrawal requests. 545.16............... Public deposits, 545.16........... Public deposits, depositaries, and fiscal depositaries, and agents. fiscal agents. 545.17............... Funds transfer 545.17........... Funds transfer services. services. 545.18............... Issuance of mutual 545.18........... Issuance of mutual capital certificates. capital certificates. 545.19............... Issuance of net 545.19........... Issuance of net worth certificates. worth certificates. 545.20............... Borrowing, issuing 545.20........... Borrowing, issuing obligations and securities, obligations and and giving security. securities, and giving security. 545.21............... Give-aways.......... 545.21........... Give-aways. 545.22-545.30........ [Reserved].......... 545.22-545.30.... [Reserved]. 545.31............... Election regarding 545.31........... Election regarding classification of loans or classification of investments. loans or investments. 545.32............... Real estate loans... 545.32........... Real estate loans. 545.33............... Home loans.......... 545.33........... Home loans. 545.34............... Limitations for home 545.34........... Limitations for home loans secured by borrower- loans secured by occupied property. borrower-occupied property. 545.35............... Other real estate 545.35........... Other real estate loans. loans. 545.36............... Loans to acquire or 545.36........... Loans to acquire or to improve real estate. to improve real estate. 545.37............... Combination loans... 545.37........... Combination loans. 545.38............... Insured and 545.38........... Insured and guaranteed loans. guaranteed loans. 545.39............... Loans guaranteed 545.39........... Loans guaranteed under the Foreign Assistance under the Foreign Act of 1961. Assistance Act of 1961. 545.40............... Loans on low-rent 545.40........... Loans on low-rent housing. housing. 545.41............... Community 545.41........... Community development loans and investments. development loans and investments. 545.42............... Home improvement 545.42........... Home improvement loans. loans. 545.43............... State housing 545.43........... State housing corporation investment-insured. corporation investment-insured. 545.44............... Mortgage 545.44........... Mortgage transactions with the Federal Home Loan transactions with Mortgage Corporation. the Federal Home Loan Mortgage Corporation. 545.45............... Manufactured home 545.45........... Manufactured home financing. financing. 545.46............... Commercial loans.... 545.46........... Commercial loans. 545.47............... Overdraft loans..... 545.47........... Overdraft loans. 545.48............... Letters of credit... 545.48........... Letters of credit. 545.49............... Loans on securities. 545.49........... Loans on securities. [[Page 706]] 545.50............... Consumer loans...... 545.50........... Consumer loans. 545.51............... Credit cards........ 545.51........... Credit cards. 545.52............... Loans on savings 545.52........... Loans on savings accounts. accounts. 545.53............... Finance leasing..... 545.53........... Finance leasing. 545.54-545.70........ [Reserved].......... 545.54-545.70.... [Reserved]. 545.71............... Liquid assets....... 545.71........... Liquid assets. 545.72............... Government 545.72........... Government obligations. obligations. 545.73............... Inter-American 545.73........... Inter-American Savings and Loan Bank. Savings and Loan Bank. 545.74............... Service corporations 545.74........... Service corporations. 545.75............... Commercial paper and 545.75........... Commercial paper and corporate debt securities. corporate debt securities. 545.76............... Investment in open- 545.76........... Investment in open-end management investment end management companies. investment companies. 545.77............... Real estate for 545.77........... Real estate for office and related facilities. office and related facilities. 545.78............... Leasing............. 545.78........... Leasing. 545.79............... Gold transactions... 545.79........... Gold transactions. 545.80............... Small business 545.80........... Small Business Investment Corporations. investment corporations. 545.81............... [Reserved].......... 545.81........... [Reserved]. 545.82............... Finance subsidiaries 545.82........... Finance subsidiaries. 545.83-545.90........ [Reserved].......... 545.83-545.90.... [Reserved]. 545.91............... Home office......... 545.91........... Home office. 545.92............... Branch offices...... 545.92........... Branch offices. 545.93............... Upgrading of 545.93........... Upgrading of approved branch office. approved branch office. 545.94............... Closing a branch 545.94........... Closing a branch office. office. 545.95............... Change of office 545.95........... Change of office location and redesignation of location and offices. redesignation of offices. 545.96............... Agency.............. 545.96........... Agency. 545.97-545.100....... [Reserved].......... 545.97-545.100... [Reserved]. 545.101.............. Fiscal agency....... 545.101.......... Fiscal agency. 545.102.............. Trustee............. 545.102.......... Trustee. 545.103.............. Suretyship.......... 545.103.......... Suretyship. 545.104-545.110...... [Reserved].......... 545.104-545.110.. [Reserved]. 545.111.............. Adjustments to book 545.111.......... Adjustments to book value of assets. value of assets. 545.112.............. [Removed and 545.112.......... [Reserved]. Reserved]. 545.113.............. Accounting records.. 545.113.......... Accounting records. 545.114.............. Monthly reports..... 545.114.......... Monthly reports. 545.115.............. Statement of 545.115.......... Statement of condition. condition. 545.116-545.120...... [Reserved].......... 545.116-545.120.. [Reserved]. 545.121.............. Indemnification of 545.121.......... Indemnification of directors, officers, and directors, employees. officers, and employees. 545.122.............. Employment contracts 545.122.......... Employment contracts. 545.123.............. Advisory boards and 545.123.......... Advisory boards and committees. committees. 545.124-545.125...... [Reserved].......... 545.124-545.125.. [Reserved]. 545.126.............. Referral of 545.126.......... Referral of insurance business. insurance business. 545.127-545.130...... [Reserved].......... 545.127-545.130.. [Reserved]. 545.131.............. Communication 545.131.......... Communication between members of a federal between members of mutual savings association. a federal mutual association. 545.132.............. Disclosure of 545.132.......... Disclosure of customer records. customer records. 545.133-545.135...... [Reserved].......... 545.133-545.135.. [Reserved]. 545.136.............. Financial future 545.136.......... Financial future transactions. transactions. 545.137.............. Financial options 545.137.......... Financial options transactions. transactions. 545.138.............. Data-processing 545.138.......... Data-processing services. services. 545.139-545.140...... [Reserved].......... 545.139-545.140.. [Reserved]. 545.141.............. Remote service units 545.141.......... Remote service units (RSUs). (RSUs). 545.142.............. Home banking 545.142.......... Home banking services. services. Appendix............. Notice to housing Removed.......... ................................................ creditors regarding alternative mortgage transactions. PART 546 546.1................ Definitions......... 546.1............ Definitions. 546.2................ Procedure; effective 546.2............ Procedure; effective date. date. 546.3................ Transfer of assets 546.3............ Transfer of assets upon merger. upon merger. 546.4................ Voluntary 546.4............ Voluntary dissolution. dissolution. 546.5................ [Removed effective ................. ................................................ December 15, 1982]. PART 547 [[Page 707]] 547.1................ Grounds for Removed.......... ................................................ appointment of conservator or receiver. 547.2................ Appointment of Removed.......... ................................................ conservator or receiver. 547.3................ Appointments on Removed.......... ................................................ other grounds. 547.4................ Notice of 558.2............ Notice of appointment. appointment. 559.2............ Notice of appointment. 547.5................ Removal of Removed.......... ................................................ conservator or receiver. 547.6................ Federal Savings and Removed.......... ................................................ Loan Insurance Corporation as receiver. 547.7................ Possession by Removed.......... ................................................ conservator or receiver. 547.8................ Surrender of 558.6............ Surrender of a possession by a conservator. possession by conservator or receiver. PART 548 PART 558 548.1................ Procedure upon 558.1............ Procedure upon taking possession. taking possession. 548.2................ Powers and duties of Removed.......... (FDIC-382.2). conservator. 548.3................ Creditors........... Removed.......... (FDIC-382.3). 548.4................ Share interests..... Removed.......... (FDIC-382.4). 548.5................ Inventory; 558.3............ Inventory. examinations and audits, and costs thereof; accounting practices. 548.6................ Final discharge and 558.7............ Final discharge and release of conservator. release of conservator. 548.7................ Inspection of 558.4............ Inspection of reports. reports. 548.8................ Delegation by 558.5............ Delegation by conservator. conservator. PART 549 PART 559 549.1................ Definitions......... Removed.......... (FDIC-383.1). 549.2................ Procedure upon 559.1............ Procedure upon taking possession. taking possession. 549.3................ Powers and duties of Removed.......... (FDIC-383.3). receiver. 549.4................ Creditor claims..... Removed.......... (FDIC-383.4). 549.5................ Share interest Removed.......... (FDIC-383.5). claims. 559.5............ Delegation by receiver. 549.5-1.............. Deposit associations Removed.......... (FDIC-383.6). 549.6................ Inventory; 559.3............ Inventory. examinations and audits, and costs thereof; accounting practices. 549.7................ Final discharge and 559.6............ Final discharge and release of receiver. release of receiver. 549.8................ Inspection of 559.4............ Inspection of reports. reports. PART 550 550.1................ Definitions......... 550.1............ Definitions. 550.2................ Applications........ 550.2............ Applications. 550.3................ Consolidation or 550.3............ Consolidation or merger of two or more Federal merger of two or savings associations. more Federal associations. 550.4................ Deposit of 550.4............ Deposit of securities with state authorities. securities with state authorities. 550.5................ Administration of 550.5............ Administration of trust powers. trust powers. 550.6................ Books and accounts.. 550.6............ Books and accounts. 550.7................ Audit of trust 550.7............ Audit of trust department. department. 550.8................ Funds awaiting 550.8............ Funds awaiting investment or distribution. investment or distribution. 550.9................ Investment of funds 550.9............ Investment of funds held as fiduciary. held as fiduciary. 550.10............... Self-dealing........ 550.10........... Self-dealing. 550.11............... Custody of 550.11........... Custody of investments. investments. 550.12............... Compensation of 550.12........... Compensation of Federal savings association. association. 550.13............... Collective 550.13........... Collective investment. investment. 550.14............... Surrender of trust 550.14........... Surrender of trust powers. powers. 550.15............... Effect on trust 550.15........... Effect on trust accounts of appointment of accounts of conservator or receiver or voluntary appointment of dissolution of association. conservator or receiver or voluntary dissolution of association. 550.16............... Revocation of trust 550.16........... Revocation of trust powers. powers. PART 551 551.1................ Service of process.. 510.4............ Service of process. PART 552 552.1................ Definitions......... 552.1............ Definitions. 552.2................ Corporate title..... 552.2............ Corporate title. 552.2-1.............. Procedure for 552.2-1.......... Procedure for organization of Federal stock organization of association. Federal stock association. 552.2-2.............. Procedures for 552.2-2.......... Procedures for organization of interim Federal organization of stock association. interim Federal stock association. 552.2-3.............. Federal stock 552.2-3.......... Federal stock association created in connection association with an association in default or in danger of proposed by Federal default. Savings and Loan Insurance Corporation. 552.2-4.............. Limitations on 552.2-4.......... Limitations on transaction of business. transaction of business. 552.2-5.............. Conversion from 552.2-5.......... Conversation from Federal mutual to Federal Federal mutual to stock charter. Federal stock charter. [[Page 708]] 552.2-6.............. Conversion from 552.2-6.......... Conversion from state stock to Federal stock state stock to charter. Federal stock charter. 552.3................ Charters for Federal 552.3............ Charters for Federal stock associations. stock associations. 552.4................ Charter amendments.. 552.4............ Charter amendments. 552.5................ Bylaws.............. 552.5............ Bylaws. 552.6................ Shareholders........ 552.6............ Shareholders. 552.6-1.............. Board of directors.. 552.6-1.......... Board of directors. 552.6-2.............. Officers............ 552.6-2.......... Officers. 552.6-3.............. Certificates for 552.6-3.......... Certificates for shares and their transfer. shares and their transfer. 552.6-4.............. Fiscal year; annual 552.6-4.......... Fiscal year; annual audit. audit. 552.7................ Description of 552.7............ Description of Federal stock associations. federal stock associations. 552.8................ Savings deposits.... 552.8............ Savings deposits. 552.9................ Investments, Removed.......... ................................................ services and borrowings. 552.10............... Annual reports to 552.10........... Annual reports to stockholders. stockholders. 552.11............... Books and records... 552.11........... Books and records. 552.13............... Combinations 552.13........... Combinations involving Federal stock involving federal associations. stock associations. 552.14............... Dissenter and 552.14........... Dissenter and appraisal rights. appraisal rights. 552.15............... Supervisory 552.15........... Supervisory combinations. combinations. 552.16............... Effect of subsequent 552.16........... Effect of subsequent charter of bylaw change. charter of bylaw change. Appendix............. Model bylaws for Appendix......... Model bylaws for stock associations. stock associations. PART 555 PART 556 555.1................ Directors........... 556.1............ Directors. 555.2................ Power to engage in 556.2............ Power to engage in escrow business. escrow business. 555.3................ Real estate......... 556.3............ Real estate. 555.5................ Insurance........... 556.4............ Insurance. 555.8................ Savings accounts.... 556.6............ Savings accounts. 555.9................ Effect of loan 556.17........... Effect of loan participation on status of participation on borrowing members. status of borrowing members. 555.10............... Service corporation 556.7............ Service corporation secured debt limitation. secured debt limitation. 555.12............... Drive-in and 556.15........... Drive-in and pedestrian facilities. pedestrian facilities. 555.13............... First liens on 556.10........... First liens on properties sold by the Secretary properties sold by of HUD. the Secretary of HUD. 555.14............... Chief executive 556.14........... Chief executive officer of a branch office. officer of a branch office. 555.15............... Prepayment penalty 556.11........... Prepayment penalty on mortgage loans. on mortgage loans. 555.17............... Insurance agencies-- 556.16........... Insurance agencies--usurpation of corporate usurpation of opportunity. corporate opportunity. 555.18............... Deposit assurance of 556.12........... Deposit assurance of direct deposit of social direct deposit of security payments. social security payments. 555.19............... Receipt of interest 556.13........... Receipt of interest expressed as a percentage of expressed as a other income. percentage of other income. PART 556 556.1................ [Previously Deleted] ................. ................................................ 556.2................ [Previously ................. ................................................ Rescinded]. 556.3................ [Previously ................. ................................................ Rescinded]. 556.4................ [Previously ................. ................................................ Rescinded]. 556.5................ Establishment of 556.5............ Establishment of branch offices. branch offices. 556.7................ Service corporation Removed.......... ................................................ involvement with gold or gold related transactions. 556.8................ Suretyship.......... 556.8............ Suretyship. 556.9................ Imposition of late 556.9............ Imposition of late charges and due-on-sale charges and due-on- clauses. sale clauses. 556.10............... [Removed effective ................. ................................................ February 13, 1981]. PART 561 561.1................ Insured institution. 561.43........... Savings association. 561.1............ General. 561.2................ Insured member...... 561.3............ Accountholder. 561.2a............... Deposit broker...... 561.17........... Deposit broker. 561.3................ Insured account..... 561.2............ Account. 561.4................ Trust estate........ Removed.......... ................................................ 561.5................ Public Unit......... 561.40........... Public unit. 561.5a............... Political 561.38........... Political subdivision. subdivision. 561.5b............... Independent activity Removed.......... ................................................ 561.6................ All insured accounts Removed.......... ................................................ 561.7................ Principal office.... 561.39........... Principal office. 561.7............ BIF. 561.8................ With recourse....... 561.55........... With recourse. 561.9................ Premium............. Removed.......... ................................................ 561.10............... Primary reserve; Removed.......... ................................................ secondary reserve. 561.11............... Savings accounts.... Removed.......... ................................................ 561.11a.............. Checking accounts... 561.16........... Demand accounts. [[Page 709]] 561.11b.............. Tax and loan Removed.......... ................................................ accounts. 561.11c.............. Note account........ Removed.......... ................................................ 561.11d.............. United States Removed.......... ................................................ Treasury General Account. 561.11e.............. United States Removed.......... ................................................ Treasury Time Deposit-Open Account. 561.11f.............. Money Market Deposit 561.28........... Money Market Deposit Accounts. Accounts. 561.11g.............. Negotiable order of 561.29........... Negotiable Order of Withdrawal Accounts. withdrawal accounts. 561.12............... Closing date........ 561.11........... Closing date. 561.13............... Regulatory capital.. Removed.......... (OTS-54 FR 46845). 561.14............... [Removed effective ................. ................................................ Aug. 16, 1982]. 561.15............... Scheduled items Removed.......... ................................................ [Reserved]. 561.15........... Corporation. 561.16............... Slow loans.......... 561.48........... Slow loans. 561.16a.............. Slow consumer credit 561.47........... Slow consumer credit. 561.16b.............. Consumer credit 561.13........... Consumer credit classified as a loss. classified as a loss. 561.16c.............. Classification of 563.160.......... Classification of certain assets. certain assets. 561.17............... [Previously Removed ................. ................................................ and Reserved]. 561.18............... Land loan........... 561.26........... Land loan. 561.19............... Nonresidential 561.30........... Nonresidential construction loan. construction loan. 561.20............... Insured loan........ 561.25........... Insured loan. 561.21............... Guaranteed loan..... 561.20........... Guaranteed loan. 561.21a.............. Guaranteed 561.21........... Guaranteed obligation. obligation. 561.22............... Normal lending 561.32........... Normal lending territory. territory. 561.23............... Low-rent housing.... 561.27........... Low-rent housing. 561.24............... Subordinated debt 561.51........... Subordinated debt security. security. 561.24a.............. [Deleted effective ................. ................................................ May 30, 1980]. 561.25............... Affiliate........... 561.4............ Affiliate. 561.26............... Service corporation. 561.45........... Service corporation. 561.27............... Service corporation 561.46........... Service corporation affiliate. affiliate. 561.28............... Controlling person.. 561.14........... Controlling person. 561.29............... Affiliated person... 561.5............ Affiliated person. 561.30............... Immediate family.... 561.24........... Immediate family. 561.31............... Director............ 561.18........... Director. 561.32............... Officer............. 561.35........... Officer. 561.33............... Financial 561.19........... Financial institution. institution. 561.34............... Holding company 561.22........... Holding company affiliate. affiliate. 561.34........... Office. 561.35............... Principal Removed.......... ................................................ supervisory agent. 561.36............... Parent company; 561.37........... Parent company; subsidiary. subsidiary. 561.37............... Audit period........ 561.6............ Audit period. 561.38............... Consumer credit..... 561.12........... Consumer credit. 561.39............... Open-end consumer 561.36........... Open-end consumer credit. credit. 561.40............... Closed-end credit... 561.10........... Closed-end consumer credit. 561.41............... Security............ 561.44........... Security. 561.41........... SAIF. 561.42............... Nonwithdrawable 561.31........... Nonwithdrawable account. account. 561.49........... [Reserved]. 561.50........... State. PART 562 PART 384 562.1................ General provisions.. Removed.......... (FDIC-384.1). 562.2................ Application form.... Removed.......... (FDIC-384.2). 562.3................ Filing and amendment Removed.......... (FDIC-384.3). of application. 562.4................ Processing of Removed.......... (FDIC-384.4). application. 562.5................ [Previously Deleted] ................................................ 562.6................ Exceptions to Removed.......... (FDIC-384.5). foregoing procedure. 562.7................ Action by Removed.......... (FDIC-384.6). Corporation. 562.8................ Costs of Removed.......... (FDIC-384.7). examination, audit, and appraisal. 562.9................ Effective date of Removed.......... (FDIC-384.8). insurance; initial premium payment, issuance of certificate of insurance. 562.10............... Prohibition against Removed.......... (FDIC-384.9). advertising prospective insurance. PART 563 563.1................ Form of account..... 563.1............ Form of account. 563.2................ Simple form of 563.2............ Simple form of certificate; passbooks. certificate; passbooks. 563.3................ Long form of 563.3............ Long form of membership certificate. membership certificate. 563.3-1.............. Fixed-term accounts 563.7............ Fixed-term accounts (certificate accounts). (certificate accounts). 563.3-2.............. Negotiable order of 563.8............ Negotiable order of withdrawal accounts withdrawal accounts authorized. authorized. 563.3-3.............. Eurodollar deposits. 563.9............ Eurodollar deposits. 563.3-10............. Earnings-based 563.10........... Earnings-based accounts. accounts. 563.4................ Brokered deposits... 563.4............ Brokered deposits. [[Page 710]] 563.5................ Securities: 563.5............ Securities: statement of non-insurance. statement of non- insurance. 563.6................ Payment of insured 563.6............ Payment of insured accounts on demand. accounts on demand. 563.7................ [Removed effective ................. ................................................ April 25, 1982]. 563.7-1.............. Savings deposits or 545.10........... Savings deposits or shares. shares of Federal savings and loan associations. 563.7-2.............. Form, return and 563.72........... Form, return and maturity of securities. maturity of securities. 563.7-3.............. [Previously ................. ................................................ Rescinded]. 563.7-4.............. Mutual capital 563.74........... Mutual capital certificates. certificates. 563.7-5.............. Mandatorily 563.75........... Mandatorily redeemable preferred stock. redeemable preferred stock. 563.8................ Borrowing 563.80........... Borrowing limitations. limitations. 563.8-1.............. Issuance of 563.81........... Issuance of subordinated debt securities. subordinated debt securities. 563.8-2.............. Corporation's right Removed.......... (FDIC-385.5). of purchase. 563.8-3.............. [Removed effective ................. ................................................ February 14, 1982]. 563.8-4.............. Transfer and 563.84........... Transfer and repurchase of government repurchase of securities. government securities. 563.9................ Geographic lending 563.90........... Appraisals on loans outside lending area. restrictions. 563.9-1-563.9-2...... [Previously ................. ................................................ Rescinded]. 563.9-3.............. Loans to one 563.93........... Loans to one borrower. borrower. 563.9-4.............. Mortgage 563.94........... Mortgage transactions with the Federal Home Loan transactions with Mortgage Corporation. the Federal Home Loan Mortgage Corporation. 563.9-5.............. Investment in state 563.95........... Investment in state housing corporations. housing corporations. 563.9-6.............. Limitation on 563.96........... Limitation on investment in accounts of investment in commercial banks and thrift institutions and in accounts of debt securities hedged with forward commercial banks commitments. and thrift institutions and in debt securities hedged with forward commitments. 563.9-7.............. Loans in excess of 563.97........... Loans in excess of 90 percent of value. 90 percent of value. 563.9-8.............. Regulation of equity 563.98........... Regulation of equity risk investment in equity risk investment in securities, real estate, service corporations, equity securities, operating subsidiaries, certain land loans, and real estate, nonresidential construction loans. service corporations, operating subsidiaries, certain land loans, and nonresidential construction loans. 563.9-9.............. Adjustable-rate 563.99........... Fixed-rate and adjustable-rate mortgage loan mortgage loan disclosures, adjustment notices, and interest disclosures. rate caps. Appendix............. Adjustable-rate Appendix to ................................................ mortgage disclosure 563.99. sample. 563.10--563.11....... [Previously ................. ................................................ Rescinded]. 563.12............... [Previously Deleted] ................. ................................................ 563.13............... Regulatory capital ................. Removed (OTS-54 FR 46845). requirement. 563.13-1............. Liability growth.... 563.131.......... Liability growth. 563.13-2............. Securities issued 563.132.......... Securities issued through subsidiaries. through subsidiaries. 563.13-3............. Sale of Federal Home 563.133.......... Sale of Federal Home Loan Mortgage Corporation Loan Mortgage preferred stock. Corporation preferred stock. 563.14............... Individual minimum 567.3............ Individual minimum capital requirements. capital requirements. 563.14-1............. Capital directives.. 567.4............ Capital directives. 563.15............... Premiums............ Removed.......... (FDIC-385.6). 563.16............... Premiums in mergers, Removed.......... (FDIC-385.7). consolidations, or purchases of bulk assets. 563.16-1............. [Previously Revoked] ................. ................................................ 563.16-2............. Secondary reserve... Removed.......... (FDIC-385.8). 563.17............... Management and 563.161.......... Management and financial policies. financial policies. 563.17-1............. Examinations and 563.170.......... Examinations and audits; appraisals; audits; appraisals; establishment and maintenance of records. establishment and maintenance of records. 563.17-1a............ Appraisal policies 563.171.......... Appraisal policies and practice of savings and practice of associations and service corporations. insured institutions and service corporations. 563.17-2............. Re-evaluation of 563.172.......... Re-evaluation of assets; adjustment of book assets; adjustment value; adjustment charges. of book value; adjustment charges. 563.17-3............. Forward commitments. 563.173.......... Forward commitments. 563.17-4............. Futures transactions 563.174.......... Futures transactions. 563.17-5............. Financial options 563.175.......... Financial options transactions. transactions. 563.17-6............. Interest-rate-risk- 563.176.......... Interest-rate-risk-management procedures. management procedures. 563.17-7............. Procedures for 563.177.......... Procedures for monitoring Bank Secrecy Act monitoring Bank compliance. Secrecy Act compliance. 563.18............... Reports to the 563.180.......... Criminal referrals and other reports or Corporation. statements. 563.18-1............. Reports of change in 563.181.......... Reports of change in control of mutual savings control of mutual associations. institutions. 563.18-2............. [Previously Removed] ................. ................................................ 563.18-3............. Reports of change in 563.183.......... Reports of change in chief executive officer or chief executive director; other reports; from and filing of officer or such reports. director; other reports; form and filing of such reports. [[Page 711]] 563.19............... Bonds for directors, 563.190.......... Bonds for directors, officers, employees, and officers, agents; form and amount of bonds. employees, and agents; form of and amount of bonds. 563.20............... Bonds for agents.... 563.191.......... Bonds for agents. 563.21............... Safe deposit 563.192.......... Safe deposit business. business. 563.22............... Merger, 563.22........... Merger, consolidation, purchase or sale of consolidation, assets, or assumption of liabilities. purchase or sale of assets, or assumption of liabilities. 562.22-1............. [Previously Revoked] ................. ................................................ 563.23............... [Previously Removed] ................. ................................................ 563.23-1............. Premium, discounts, 563.231.......... Premiums and discounts with respect to loans. charges, and credits with respect to loans; sale of real estate; and related items. 563.23-2............. Accounting for gains Removed.......... ................................................ and losses with respect to transactions in securities. 563.23-3............. Accounting 563.233.......... Accounting principles and procedures. principles and procedures. 563.23-4............. Accounting for 563.234.......... Accounting for troubled debt restructuring. troubled debt restructuring. 563.24............... Sales plans; give- 563.24........... Sales plans; give-aways. aways. 563.25-563.26........ [Previously Removed] ................. ................................................ 563.27............... Advertising must be 563.27........... Advertising. accurate. 563.28............... Advertising of Removed.......... (FDIC-385.9). insurance of accounts. 563.29............... Name of association. 563.29........... Name of association. 563.29-1............. Continuation of Removed.......... (FDIC-385.1). insurance. 563.30............... Reservation of right Removed.......... (FDIC-385.2). concerning advertising. 563.31............... Other insurance or Removed.......... (FDIC-385.3). guaranty. 563.32............... Payment of trustee 563.32........... Payment of trustee fees on pension trust fees on pension accounts. trust accounts. 563.33............... Directors, officers, 563.33........... Directors, officers, and employees. and employees. 563.34............... Deposit 563.34........... Deposit relationships involving affiliated relationships persons. involving affiliated persons. 563.35............... Restrictions 563.35........... Restrictions involving loan services. involving loan services. 563.36............... Equal Opportunity in Removed.......... (FDIC-385.4). Employment. 563.37............... Operation of service 563.37........... Operation of service corporations, limited corporations; liability of savings association, for debt of limited liability service corporation. of insured institution for debt of service corporation. 563.38............... Salvage power of 563.38........... Salvage power of savings association to assist insured institution service corporation. to assist service corporation. 563.39............... Employment contracts 563.39........... Employment contracts. 563.39-1............. Pension plans....... 563.47........... Pension plans. 563.40............... Restrictions on loan 563.40........... Restrictions on loan procurement fees, kickbacks procurement fees, and unearned fees. kickbacks and unearned fees. 563.41............... Restrictions on real 563.41........... Restrictions on real and personal property and personal transactions with affiliated persons. property transactions with affiliated persons. 563.42............... [Reserved].......... 563.42........... [Reserved]. 563.43............... Restrictions on 563.43........... Restrictions on loans and other investments loans and other involving affiliates and affiliated persons. investments involving affiliated persons. 563.44............... Loans involving 563.44........... Loans involving mortgage insurance. mortgage insurance. 563.45............... Disclosure.......... 563.45........... Disclosure. 563.46............... Charge-off of 563.46........... Charge-off of consumer credit classified as a consumer credit loss. classified as a loss. 563.47............... Capital forbearance. 567.20........... Grandfathered capital forbearances. PART 563a PART 568 563a.1............... Scope of part and 568.1............ Scope of part and definitions. definitions. 563a.2............... Designation of 568.2............ Designation of security officer. security officer. 563a.3............... Security devices.... 568.3............ Security devices. 563a.4............... Security procedures. 568.4............ Security procedures. 563a.5............... Reports and records. 568.5............ Reports and records. 563a.6............... Corrective action... 568.6............ Corrective action. 563a.7............... Penalty provision... 568.7............ Penalty provision. Appendix A........... Minimum standards Appendix A....... Minimum standards for security devices. for security devices. Appendix B........... Proper employee Appendix B....... Proper employee conduct during and after a conduct during and robbery. after a robbery. PART 563b 563b.1............... Scope of part....... 563b.1........... Scope of part. 563b.2............... Definitions......... 563b.2........... Definitions. 563b.3............... General principles 563b.3........... General principles for conversions. for conversions. 563b.4............... Notice of filing; 563b.4........... Notice of filing; public statements; public statements; confidentiality. confidentiality. 563b.5............... Solicitation of 563b.5........... Solicitation of proxies; proxy statement. proxies; proxy statement. 563b.6............... Vote by members..... 563b.6........... Vote by members. 563b.7............... Pricing and sale of 563b.7........... Pricing and sale of securities. security. 563b.8............... Procedural 563b.8........... Procedural requirements. requirements. [[Page 712]] 563b.9............... Conversion of an 563b.9........... Conversion of a savings association in insured institution connection with the formation of a holding in connection with company. the formation of a holding company. 563b.10.............. Conversion of an 563b.10.......... Conversion of a savings association in insured institution connection with an acquisition by an existing in connection with holding company; conversion of a savings an acquisition by association through merger with an existing an existing holding stock savings association. company; conversion of an insured institution through merger with an insured stock institution. Subpart B............ [Removed effective ................. ................................................ January 4, 1984]. 563b.20.............. Scope of subpart.... 563b.20.......... Scope of subpart. 563b.21.............. Voluntary 563b.21.......... Voluntary supervisory conversions. supervisory conversions. 563b.22.............. Purpose of subpart.. 563b.22.......... Purpose of subpart. 563b.23.............. Authority of 563b.23.......... Authorization of supervisory conversions. supervisory conversions. 563b.24.............. Qualification for 563b.24.......... Qualification for supervisory conversion of SAIF- supervisory insured savings associations. conversion of FSLIC- insured institutions. 563b.25.............. Qualifications for 563b.25.......... Qualifications for supervisory conversion of BIF- supervisory insured savings associations. conversion of FDIC- insured institutions. 563b.26.............. Viability of 563b.26.......... Viability of converted savings association. converted insured institution. 563b.27.............. Application for 563b.27.......... Application for voluntary supervisory stock voluntary conversion. supervisory stock conversion. 563b.28.............. Procedural 563b.28.......... Procedural requirements. requirements. 563b.29.............. Conditions of 563b.29.......... Conditions of approval. approval. 563b.30.............. Sale of conversion 563b.30.......... Sale of conversion stock. stock. 563b.31.............. Expenses............ 563b.31.......... Expenses. 563b.32.............. Employment contracts 563b.32.......... Employment contracts. 563b.33.............. [Previously Removed] ................. ................................................ 563b.34.............. Scope of subpart.... 563b.34.......... Scope of subpart. 563b.35.............. Modified stock 563b.35.......... Modified stock conversion. conversion. 563b.36.............. Purpose of subpart.. 563b.36.......... Purpose of subpart. 563b.37.............. Qualification for 563b.37.......... Qualification for modified conversion. modified conversion. 563b.38.............. Authorization of 563b.38.......... Authorization of modified conversion. modified conversion. 563b.39.............. Application for 563b.39.......... Application for modified conversion. modified conversion. 563b.40.............. Sale of stock....... 563b.40.......... Sale of stock. 563b.41.............. Procedural 563b.41.......... Procedural requirements. requirements. 563b.100............. Form AC--Application 563b.100......... Form AC--Application for Conversion. for Conversion. 563b.101............. Form PS--Proxy 563b.101......... Form PS--Proxy Statements. Statements. 563b.102............. Form OC--Offering 563b.102......... Form OC--Offering Circulars. Circulars. PART 563c 563c.1............... Form and content of 563c.1........... Form and content of financial statements. financial statements. 563c.2............... Definitions......... 563c.2........... Definitions. 563c.3............... Qualification of 563c.3........... Qualification of Public Accountant. public accountant. 563c.4............... Condensed financial 563c.4........... Condensed financial information [Parent only]. information [Parent only]. 563c.10.............. Use of accrual basis 563c.10.......... Use of accrual basis of accounting. of accounting. 563c.11.............. Accounting for Removed.......... ................................................ uncollectible income. 563c.12.............. Accounting for net 563c.12.......... Accounting for net income. income. 563c.13.............. Accounting for 563c.13.......... Accounting for investment in service investment in corporation. service corporation. 563c.14.............. Accounting for gains 563c.14.......... Accounting for gains and losses on the sale or and losses on the other disposition of mortgage loans, redeemable sale or other ground-rent leases, and certain securities; disposition of matching the amortization of discounts and mortgage loans, losses. redeemable ground- rent leases, and certain securities; matching the amortization of discounts and losses. 563c.101............. Application of this 563c.101......... Application of this subpart. subpart. 563c.102............. Financial statement 563c.102......... Financial statement presentation. presentation. PART 563d 563d.1............... Requirements under 563d.1........... Requirements under certain sections of the certain sections of Securities Exchange Act of 1934. the Securities Exchange Act of 1934. 563d.2............... Mailing requirements 563d.2........... Mailing requirements for securities filings. for securities filings. 563d.3b-6............ Liability for 563d.3d-6........ Liability for certain statements by savings certain statements associations. by registrants. 563d.200.30.......... Delegation of 563d.200-30...... Delegation of authority to Chief Counsel. authority to General Counsel. 563d.210............. Form and content of 563d.210......... Form and content of financial statements. financial statements. 563d.801............. Application of this 563d.801......... Application of this subpart. Subpart. 563d.802............. Description of 563d.802......... Description of business. business. PART 563e 563e.1............... Authority........... 563e.1........... Authority. 563e.2............... Purposes............ 563e.2........... Purposes. 563e.3............... Delineation of 563e.3........... Delineation of community. community. 563e.4............... Community 563e.4........... Community Reinvestment Act statement. Reinvestment Act statement. 563e.5............... Files of public 563e.5........... Files of public comments and recent CRA comments and recent statements. CRA statements. [[Page 713]] 563e.6............... Public notice....... 563e.6........... Public notice. 563e.7............... Assessing the record 563e.7........... Assessing the record of performance. of performance. 563e.8............... Effect on 563e.8........... Effect on applications. applications. PART 563f 563f.1............... Authority, purpose, 563f.1........... Authority, purpose, and scope. and scope. 563f.2............... Definitions......... 563f.2........... Definitions. 563f.3............... General prohibitions 563f.3........... General prohibitions. 563f.4............... Permitted 563f.4........... Permitted interlocking relationships. interlocking relationships. 563f.5............... Grandfathered 563f.5........... Grandfathered interlocking relationships. interlocking relationships. 563f.6............... Changes in 563f.6........... Changes in circumstances. circumstances. 563f.7............... Delegation of 563f.7........... Delegation of authority to grant exemptions and authority to grant extensions of time. exemptions and extensions of time. 563f.8............... Enforcement......... 563f.8........... Enforcement. PART 563g 563g.1............... Definitions......... 563g.1........... Definitions. 563g.2............... Offering circular 563g.2........... Offering circular requirement. requirements. 563g.3............... Exemptions.......... 563g.3........... Exemptions. 563g.4............... Non-public offerings 563g.4........... Non-public offering. 563g.5............... Filing and signature 563g.5........... Filing and signature requirements. requirements. 563g.6............... Effective date...... 563g.6........... Effective date. 563g.7............... Form, content, and 563g.7........... Form, content, and accounting. accounting. 563g.8............... Use of the offering 563g.8........... Use of the offering circular. circular. 563g.9............... Escrow requirement.. 563g.9........... Escrow requirement. 563g.10.............. Unsafe or unsound 563g.10.......... Unsafe or unsound practices. practices. 563g.11.............. Withdrawal or 563g.11.......... Withdrawal or abandonment. abandonment. 563g.12.............. Securities sale 563g.12.......... Securities sale report. report. 563g.13.............. Public disclosure 563g.13.......... Public disclosure and confidential treatment. and confidential treatment. 563g.14.............. Waiver.............. 563g.14.......... Waiver. 563g.15.............. Requests for 563g.15.......... Requests for interpretive advice or waiver. interpretive advice or waiver. 563g.16.............. Delayed or 563g.16.......... Delayed or continuous offering and sale of continuous offering securities. and sale of securities. 563g.17.............. Direct sales of 563g.17.......... Direct sales of securities at an office. securities at an office. 563g.18.............. Current and periodic 563g.18.......... Current and periodic reports. reports. 563g.19.............. Approval of the 563g.19.......... Approval of the security. security. 563g.20.............. Form for securities 563g.20.......... Form for securities sale report. sale report. 563g.21.............. Filing of copies of 563g.21.......... Filing of copies of offering circulars in offering circulars certain exempt offerings. in certain exempt offerings. 563g.22.............. Delegation of 563g.22.......... Delegation of authority. authority. PART 564 PART 386 564.1................ Settlement of Removed.......... (FDIC-386.1). insurance upon default. 564.2................ General principles Removed.......... (FDIC-386.2). applicable in determining insurance of accounts. 564.3................ Single ownership Removed.......... (FDIC-386.3). accounts. 564.4................ Testamentary Removed.......... (FDIC-386.4). accounts. 564.5................ Accounts held by Removed.......... (FDIC-386.5). executors or administrators. 564.6................ Accounts held by a Removed.......... (FDIC-386.6). corporation or partnership. 564.7................ Accounts held by an Removed.......... (FDIC-386.7). unincorporated association. 564.8................ Public unit accounts Removed.......... (FDIC-386.8). 564.9................ Joint account....... Removed.......... (FDIC-386.9). 564.10............... Trust accounts and Removed.......... (FDIC-386.10). IRA and Keogh accounts. 564.11............... FDIC-insured federal Removed.......... (FDIC-386.11). associations. 564.12............... [Invalidated by ................. ................................................ court order, June 20, 1984 (49 FR 27294)]. Appendix............. Examples of Removed.......... (FDIC-Appendix to Part 386). insurance coverage afforded accounts in institutions insured by the Federal Savings and Loan Insurance Corporation. PART 565 PART 387 565.1................ Voluntary Removed.......... (FDIC-387.1). termination of insurance. 565.2................ Termination by the Removed.......... (FDIC-387.2). Corporation. 565.3................ Termination of Removed.......... (FDIC-387.3). insurance resulting from removal from Federal Home Loan Bank membership. 565.4................ Date of termination Removed.......... (FDIC-387.4). of insured status. [[Page 714]] 565.5................ Notice to insured Removed.......... (FDIC-387.5). members. 565.6................ Cessation of Removed.......... (FDIC-387.6). existence; mergers and consolidations. 565.7................ Cessation of Removed.......... (FDIC-387.7). existence; other cases. 565.8................ Surrender of Removed.......... (FDIC-387.8). insurance certificate. 565.9................ FDIC-insured federal Removed.......... (FDIC-387.9). associations. 565.10............... Liquidation account. Removed.......... (FDIC-387.10). PART 566-[Rescinded] PART 567 567.1................ Amendment of rules Removed.......... (OTS-54 FR 46845). and regulations. 567.1............ Definitions. 567.2................ [Previously Revoked] Removed.......... ................................................ 567.2............ Minimum regulatory capital requirement. 567.5............ Components of capital. 567.6............ Risk-based capital credit risk weight categories. 567.8............ Leverage ratio. 567.9............ Tangible capital requirement. 567.10........... Consequences of failure to meet capital requirements. 567.11........... Reservation of authority. PART 568 568.1................ Agents for service Removed.......... ................................................ of process. PART 569 569.1................ Definitions......... 569.1............ Definitions. 569.2................ Form of proxies..... 569.2............ Form of proxies. 569.3................ Holders or proxies.. 569.3............ Holders of proxies. 569.4................ Proxy soliciting 569.4............ Proxy soliciting material. material. PART 569a PART 579 569a.1............... Grounds for Removed.......... ................................................ appointment of receiver. 579.1............ Scope. 569a.2............... Appointment of Removed.......... ................................................ Receiver. 569a.3............... Notice of 579.3............ Notice. appointment. 569a.4............... Possession by Removed.......... (FDIC-388.1). Receiver. 579.4............ Inventory. 569a.5............... Procedure on taking 579.2............ Procedure on taking possession. possession. 579.5............ Inspection of report. 569a.6............... Powers and duties as Removed.......... (FDIC-388.3). Receiver. 579.6............ Delegation by conservator. 569a.7............... Priority of claims.. Removed.......... (FDIC-388.4). 579.7............ Surrender of possession by a conservator. 569a.8............... Creditor claims..... Removed.......... (FDIC-388.5). 569a.9............... Claims of Removed.......... (FDIC-388.6). accountholders. 569a.10.............. Audits.............. Removed.......... (FDIC-388.7). 569.11............... Accounting Removed.......... (FDIC-388.8). practices; reports. 569.12............... Final discharge and 579.8............ Final discharge and release of conservator. release of Receiver. 569a.13.............. Purchase and Removed.......... (FDIC-388.10). assumption transactions. PART 569c PART 389 569c.1............... Definitions......... Removed.......... (FDIC-389.1). 569c.2............... Scope............... Removed.......... (FDIC-389.2) 569c.3-569c.6........ [Previously Removed.......... (FDIC-389.3) Reserved]. 569c.7-1............. Subrogation of the Removed.......... (FDIC-389.4) Corporation and Assignment of Claim. 569c.8-1............. Federal Home Loan Removed.......... (FDIC-389.5) Banks as Secured Creditors. 569c.9-569c.10....... [Previously Removed.......... (FDIC-389.6) Reserved]. 569c.11.............. Priorities.......... Removed.......... (FDIC-389.7) PART 570 570.1................ [Previously ................. ................................................ Rescinded]. 570.2................ [Previously Revoked] ................. ................................................ 570.3................ Reserves; Federal Removed.......... ................................................ insurance reserve; transfers from; undivided profits. 570.4................ Regulatory capital.. 571.23........... Regulatory capital. 570.5................ [Removed effective ................. ................................................ March 21, 1985]. 570.6................ [Previously Revoked] ................. ................................................ 570.7................ Appraisals; payment 571.20........... Payment for appraisals. for. 570.8................ Computation of Removed.......... ................................................ scheduled items, assets and specified assets. [[Page 715]] 570.9................ [Removed effective ................. ................................................ August 16, 1982]. 570.10............... Separate corporate 571.21........... Separate corporate existence of a service existence of a corporation. service corporation. 570.11............... Most favored lender 571.22........... Most favored lender status. status. 570.12............... Insurance of Removed.......... (FDIC-386.12). accounts evidenced by negotiable instruments. 570.13............... Insurance of annuity Removed.......... (FDIC-386.13). accounts. PART 571 571.1................ Appraisal of real 571.1............ Appraisal of real estate securing asset of estate securing savings associations. asset of insured institutions. 571.1a............... Classification of 571.26........... Classification of certain assets. certain assets. 571.1b............... Appraisal policies 571.27........... Appraisal policies and practices of savings and practices of associations. insured institutions. 571.2................ Audits of insured 571.2............ Audits of savings associations. institutions. 571.3................ Interest-rate-risk 571.3............ Interest-rate-risk management. management. 571.4................ Hazard insurance.... 571.4............ Hazard insurance. 571.5................ Mergers and 571.5............ Mergers and transfers of assets and liabilities. transfers of assets and liabilities. 571.6................ Policy 571.6............ Policy considerations regarding `de novo' considerations applications. regarding `de novo' applications for insurance of accounts. 571.7................ Conflicts of 571.7............ Conflicts of interest. interest. 571.8................ Investment in state 571.8............ Investment in state housing corporations. housing corporation. 571.9................ Corporate 571.9............ Corporate opportunity in savings associations. opportunity in insured institutions. 571.10............... Gold and gold- 571.10........... Gold and gold-related transactions. related transactions. 571.11............... Exclusive leases and 571.11........... Exclusive leases and similar agreements. similar agreements. 571.12............... Applications 571.12........... Applications processing guidelines. processing guidelines. 571.13............... Participation 571.13........... Participation interests in pools of loans. interests in pools of loans. 571.14............... Fidelity bonds; 571.14........... Fidelity bonds; acceptable surety companies. acceptable surety companies. 571.15............... Fiduciary activities 571.15........... Fiduciary activities of state-chartered savings of state-chartered associations and service corporations. insured institutions and service corporations. 571.16............... Mortgage-backed- 571.6............ Mortgage-backed-securities transaction. securities transaction. 571.17............... [Previously Removed] ................. ................................................ 571.18............... Accounting for 571.18........... Accounting for troubled debt restructuring. troubled debt restructuring. 571.19............... Investment Portfolio 571.19........... Investment portfolio policy and accounting Policy and guidelines. accounting guidelines. PART 572 PART 390 572.1................ Purchase of net Removed.......... (FDIC-390.1). worth certificates. 572.2................ Definitions......... Removed.......... (FDIC-390.2). 572.3................ Application for Removed.......... (FDIC-390.3). Corporation purchases of net worth certificates. 572.4................ Delegations......... Removed.......... (FDIC-390.4). 572.5................ Right of appeal..... Removed.......... (FDIC-390.5). 572.6................ Effect of Removed.......... (FDIC-390.6). Corporation purchase of net worth certificates. 572.7................ Dividends........... Removed.......... (FDIC-390.7). 572.8................ Branching........... Removed.......... (FDIC-390.8). 572.9................ Transactions with Removed.......... (FDIC-390.9). holding company. 572.10............... Board statutory Removed.......... (FDIC-390.10). authority. PART 572a PART 391 572a.1............... Statement of policy. Removed.......... (FDIC-391.1). 572a.2............... Definitions......... Removed.......... (FDIC-391.2). 572a.3............... Standards of Removed.......... (FDIC-391.3). eligibility. 572a.4............... Procedure for Removed.......... (FDIC-391.4). recommendation and designation. 572a.5............... Actions by Principal Removed.......... (FDIC-391.5). Supervisory Agent. 572a.6............... Sunset.............. Removed.......... (FDIC-391.6). PART 574 574.1................ Scope of part....... 574.1............ Scope of part. 574.2................ Definitions......... 574.2............ Definitions. 574.3................ Acquisition of 574.3............ Acquisition of control of savings associations. control of insured institutions. 574.4................ Control............. 574.4............ Control. 574.5................ Certifications of 574.5............ Certifications of ownership and other reports. ownership and other reports. 574.6................ Procedural 574.6............ Procedural requirements. requirements. 574.7................ Determination by the 574.7............ Determination by the Office. Corporation.. 574.8............ Qualified stock issuances by under-capitalized savings associations or holding companies. [[Page 716]] 574.8................ Delegations of 574.9............ Delegations of authority. authority. 574.100.............. Rebuttal of control 574.100.......... Rebuttal of control agreement. agreement. PART 575 PART 392 575.1................ Purpose............. Removed.......... (FDIC-392.1). 575.2................ Definitions......... Removed.......... (FDIC-392.2). 575.3................ Publication of Removed.......... (FDIC-392.3). notice. 575.4................ Proof of claim...... Removed.......... (FDIC-392.4). 575.5................ Insured deposits.... Removed.......... (FDIC-392.5). 575.6................ Uninsured deposits.. Removed.......... (FDIC-392.6). 575.7................ Agents of the Removed.......... (FDIC-392.7). special representative. 575.8................ Control log for Removed.......... (FDIC-392.8). proofs of claims. 575.9................ Review of proof of Removed.......... (FDIC-392.9). claims. 575.10............... Review on the merits Removed.......... (FDIC-392.10). of a claim. 575.11............... Allowance, Removed.......... (FDIC-392.11). disallowance, or retention for further review of claim. 575.12............... Special Removed.......... (FDIC-392.12). representative and claims counsel. 575.13............... Elements of review.. Removed.......... (FDIC-392.13). 575.14............... Request for Removed.......... (FDIC-392.14). immediate determination. 575.15............... Burden of proof..... Removed.......... (FDIC-392.15). 575.16............... Exclusion from Removed.......... (FDIC-392.16). claims procedure. 575.17............... Application of Removed.......... (FDIC-392.17). claims procedure. 575.18............... Criteria for the Removed.......... (FDIC-392.18). determination of claims for provision of services, supplies, and material. 575.19............... Claims to security, Removed.......... (FDIC-392.19). priority, or preference. PART 575a PART 393 575a.1............... Presentment of Removed.......... (FDIC-393.1). claims to receivers required as prerequisite to commencing litigation. 575a.2............... Inclusion of Removed.......... (FDIC-393.2). presentment requirement in notices to potential creditors. PART 576 PART 394 576.1................ Purpose............. Removed.......... (FDIC-394.1). 576.2................ Notice of right to Removed.......... (FDIC-394.2). file a request for review. 576.3................ Filing a request for Removed.......... (FDIC-394.3). review. 576.4................ Control of request Removed.......... (FDIC-394.4). for review. 576.5................ Basis for board Removed.......... (FDIC-394.5). decision. 576.6................ Burden of proof..... Removed.......... (FDIC-394.5). 576.7................ Issuance of decision Removed.......... (FDIC-394.7). 576.8................ Decision in writing. Removed.......... (FDIC-394.8). 576.9................ Denial of claim..... Removed.......... (FDIC-394.9). 576.10............... Requests for Removed.......... (FDIC-394.10). extension of time or waiver of other procedural requirements. 576.11............... Satisfaction of Removed.......... (FDIC-394.11). claim certificate. 576.12............... Procedural questions Removed.......... (FDIC-394.12). PART 577 .................... PART 395 577.1................ Purpose............. Removed.......... (FDIC-395.1). 577.2................ How to file a Removed.......... (FDIC-395.2). request for expedited relief. 577.3................ Content of request Removed.......... (FDIC-395.3). for expedited relief. 577.4................ Decision............ Removed.......... (FDIC-395.4). 577.5................ Requests for Removed.......... (FDIC-395.5). extension of time or waiver of other procedural requirements. PART 578 PART 396 578.1................ Assignment or pledge Removed.......... (FDIC-396.1). of Corporation's assets. PART 580--POSSESSION BY RECEIVERS FOR STATE ASSOCATIONS 580.1............ Scope. 580.2............ Procedure upon taking possession. 580.3............ Notice of appointment. 580.4............ Inventory. 580.5............ Inspection of reports. 580.6............ Delegation by receiver. 580.7............ Final discharge and release of receiver. PART 583 583.1................ Bank................ 583.3............ Bank. [[Page 717]] 583.1............ Acquire. 583.2................ Board............... Removed.......... ................................................ 583.3................ Corporation......... Removed.......... ................................................ 583.4................ State............... 583.22........... State. 583.4............ Bank holding company. 583.5................ Supervisory agent... 583.10........... District Director. 583.5............ BIF. 583.6................ Insured institution. 583.21........... Savings Association. 583.7................ Uninsured 583.24........... Uninsured Institution. institution. 583.8................ Person.............. 583.16........... Person. 583.8............ Corporation. 583.9................ Company............. 583.6............ Company. 583.10............... Parent Company...... 583.15........... Parent Company. 583.11............... Savings and loan 583.20........... Savings and Loan Holding Company. holding company. 583.12............... Multiple savings and 583.12........... Multiple Savings and Loan Holding Company. loan holding company. 583.13............... Diversifed savings 583.11........... Diversified Savings and Loan Holding Company. and loan holding company. 583.13........... Office. 583.14............... Subsidiary.......... 583.23........... Subsidiary. 583.15............... Affiliate........... 583.2............ Affiliate. 583.16............... Debt security....... Removed.......... ................................................ 583.17............... Outstanding debt.... Removed.......... ................................................ 583.17........... Qualified thrift lender. 583.18............... Net worth........... Removed.......... ................................................ 583.19............... Consolidated net Removed.......... ................................................ worth. 583.19........... SAIF. 583.20............... Consolidated net Removed.......... ................................................ earnings. 583.21............... Consolidated net Removed.......... ................................................ income available for interest. 583.22............... Consolidated debt Removed.......... ................................................ service requirements. 583.23............... Registrant.......... 583.18........... Registrant. 583.24............... Officer............. 583.14........... Officer. 583.25............... Director............ 583.9............ Director. 583.26............... Control............. 583.7............ Control. 583.27............... Qualified thrift 584.6............ Qualified thrift lender status. lender status. PART 584 584.1................ Registration, 584.1............ Registration, examination, and reports. examination, and reports. 584.2................ Prohibited 584.2............ Prohibited activities. activities. 584.2a............... Exempt savings and 584.2a........... Exempt savings and loan holding companies and loan holding grandfathered activities. companies and grandfathered activities. 584.2-1.............. Prescribed services 584.2-1.......... Prescribed services and activities of savings and activities of and loan holding companies. savings and loan holding companies. 584.2-2.............. Permissible 584.2-2.......... Permissible bank holding company activities of nonbanking savings and loan holding companies. activities of savings and loan holding companies. 584.3................ Transactions with 584.3............ Transactions with affiliates. affiliates. 584.4................ Prohibited 584.4............ Prohibited acquisitions. acquisitions. 584.4-1.............. [Previously Removed] ................. ................................................ 584.5................ Advance notice of 584.5............ Advance notice of proposed dividend proposed dividend declarations. declarations. 584.5-1.............. Relief from Removed.......... ................................................ outstanding prohibitions on payment of dividends. 584.6................ Holding company Removed.......... ................................................ indebtedness. 584.7................ Payment of dividends Removed.......... ................................................ to a diversified savings and loan holding company. 584.8................ Claims of Removed.......... ................................................ diversified savings and loan holding company status. 584.9................ Prohibited acts..... 584.9............ Prohibited acts. 584.10............... Statements, 584.10........... Statements, applications, reports, and notices applications, to be filed. reports, and notices to be filed. PART 585 585.1................ Amendment of Removed.......... ................................................ regulations. 585.2................ Hearings............ 584.11........... Hearings. PART 588 588.1................ Applications Removed.......... involving gold or gold-related transactions. PART 589 589.1................ [Previously Removed] ................. ................................................ 589.2................ [Previously Removed] ................. ................................................ 589.3................ [Previously Removed] ................. ................................................ PART 590 [[Page 718]] 590.1................ Authority, purpose, 590.1............ Authority, purpose, scope. scope. 590.2................ Definitions......... 590.2............ Definitions. 590.3................ Operation........... 590.3............ Operation. 590.4................ Consumer protection 590.4............ Consumer protection rules for federally-related rules for federally- loans, mortgages, credit sales and advance related loans, secured by first liens on residential mobile mortgages, credit homes. sales and advances secured by first liens on residential mobile homes. 590.5................ Interpretations..... Removed.......... ................................................ 590.100.............. Status of 590.100.......... Status of interpretations issued under Public interpretations Law 96-161. issued under Public Law 96-161. 590.101.............. State criminal usury 590.101.......... State criminal usury statutes. statutes. PART 591 591.1................ Authority, purpose, 591.1............ Authority, purpose, and scope. and scope. 591.2................ Definitions......... 591.2............ Definitions. 591.3................ Loans originated by 591.3............ Loans originated by Federal savings federal associations. associations. 591.4................ Loans originated by 591.4............ Loans originated by lenders other than federal lenders other than savings associations. federal associations. 591.5................ Limitation on 591.5............ Limitation on exercise of due-on-sale clauses. exercise of due-on- sale clauses. 591.6................ Interpretations..... 591.6............ Interpretations. PART 592 592.1................ Definitions......... Removed.......... ................................................ 592.2-592.10......... [Reserved].......... Removed.......... ................................................ 592.11............... General authority... Removed.......... ................................................ 592.12............... Assessments on Removed.......... ................................................ insured institutions. 592.13-592.16........ [Reserved].......... Removed.......... ................................................ 592.17............... Book-entry procedure Removed.......... ................................................ for Financing Corporation securities. ---------------------------------------------------------------------------------------------------------------- [[Page 719]] Redesignation Table V Part 19 was revised at 55 FR 13013, Apr. 6, 1990. The following distribution table shows the relationship of former section numbers in Part 19 to the new sections numbers. ------------------------------------------------------------------------ Old section New section No. No. ------------------------------------------------------------------------ Subpart A--General Provisions ------------------------------------------------------------------------ Scope of part............................... 19.1 19.0 Definitions................................. 19.0 19.1 Retained authority.......................... 19.17 19.2 Appearance and practice before the OCC...... 19.3 19.3 Ex parte communications..................... ............ 19.4 Time limits................................. 19.6 19.5 --------------------------------------------- Subpart B--Institution of Adjudicatory Proceedings; Pleadings; Motions; Interlocutory Review ------------------------------------------------------------------------ Commencement of proceedings; notice and 19.2 19.10 answer..................................... Filing and service.......................... 19.4 19.11 Form and signature of papers................ 19.5 19.12 Good faith certification.................... ............ 19.13 Motions..................................... 19.7 19.14 Interlocutory review........................ 19.7(d) 19.15 --------------------------------------------- Subpart C--Parties and Limited Participation by Nonparties ------------------------------------------------------------------------ Parties..................................... ............ 19.20 Limited participation by nonparties......... ............ 19.21 Comptroller's review of ruling on limited ............ 19.22 participation.............................. --------------------------------------------- Subpart D--Prehearing Procedures; Prehearing Conferences; Discovery ------------------------------------------------------------------------ Prehearing conferences; procedural matters.. 19.10(b) 19.30 Prehearing exchange of information.......... ............ 19.31 Stipulations................................ ............ 19.32 Discovery................................... ............ 19.33 Subpoenas................................... 19.8 19.34 --------------------------------------------- Subpart E--Formal Hearings ------------------------------------------------------------------------ Conduct of formal hearing................... 19.10 19.40 Authority of the presiding officer.......... 19.10(a) 19.41 Judicial notice; admissibility of copies and ............ 19.42 proffers................................... Public hearings............................. 19.10(c) 19.43 Confidentiality of proceeding............... 19.16 19.44 Summary disposition......................... ............ 19.45 --------------------------------------------- Subpart F--Post Hearing Procedures; Initial Decision ------------------------------------------------------------------------ Proposed findings and conclusions; briefs... 19.11(a) 19.50 Submissions by limited participants......... ............ 19.51 Initial decision of presiding officer....... 19.11(b) 19.52 --------------------------------------------- Subpart G--Review by the Comptroller; Final Decision ------------------------------------------------------------------------ Review of initial decision.................. ............ 19.60 Oral argument before the Comptroller........ 19.13 19.61 Notice of submission to the Comptroller..... 19.14 19.62 Remand of the initial decision or order..... ............ 19.63 Decision of the Comptroller................. 19.15 19.64 Stay of proceeding or final order........... ............ 19.65 --------------------------------------------- Subpart H--Cease-and-Desist Proceedings ------------------------------------------------------------------------ Scope....................................... 19.18 19.70 Notice of charges and answer................ 19.19 19.71 Cease-and-desist orders..................... 19.21 19.72 --------------------------------------------- Subpart I--Assessment of Civil Money Penalty ------------------------------------------------------------------------ Scope....................................... 19.22 19.80 Notice of assessment; request for hearing; 19.23 19.81 answer..................................... Notice of hearing........................... 19.24 19.82 Assessment orders........................... 19.25 19.83 --------------------------------------------- Subpart J--Removals, Suspensions and Prohibitions Generally ------------------------------------------------------------------------ Scope....................................... 19.26 19.90 Notice of intention to remove and answer.... 19.27 19.91 Removal or prohibition by order............. 19.29 19.92 --------------------------------------------- Subpart K--Removals, Suspensions and Prohibitions When a Crime is Charged or a Conviction is Obtained ------------------------------------------------------------------------ Scope....................................... 19.30 19.100 [[Page 720]] Suspension or removal....................... 19.31 19.101 Informal hearing............................ 19.32 19.102 Initial and final decisions................. 19.33 19.103 --------------------------------------------- Subpart L--Disciplinary Proceedings Involving the Federal Securities Laws ------------------------------------------------------------------------ Scope....................................... 19.34 19.110 Notice of charges and answer................ 19.35 19.111 Disciplinary orders......................... 19.36 19.112 --------------------------------------------- Subpart M--Exemption Hearings Under Section 12(h) of the Securities Exchange Act of 1934 ------------------------------------------------------------------------ Scope....................................... 19.37 19.120 Application for exemption................... 19.38 19.121 Newspaper notice............................ 19.39 19.122 Informal hearing............................ 19.40 19.123 Decision of the Comptroller................. 19.41 19.124 --------------------------------------------- Subpart N--Formal Investigations ------------------------------------------------------------------------ Scope....................................... 19.42 19.130 Confidentiality of formal investigations.... 19.43 19.131 Order to conduct a formal investigation..... 19.44 19.132 Rights of witnesses......................... 19.45 19.133 Service of subpoena and payment of witness 19.46 19.134 fees....................................... --------------------------------------------- Subpart O--Parties and Representational Practice Before the OCC: Standards of Conduct ------------------------------------------------------------------------ Scope....................................... ............ 19.140 Sanctions relating to conduct in an ............ 19.141 administrative proceeding.................. Censure, suspension or debarment............ ............ 19.142 Definitions................................. ............ 19.143 Eligibility to practice..................... ............ 19.144 Incompetence................................ ............ 19.145 Disreputable conduct........................ ............ 19.146 Initiation of disciplinary proceeding....... ............ 19.147 Conferences................................. ............ 19.148 Proceedings under this subpart.............. ............ 19.149 Effect of suspension, debarment, or censure. ............ 19.150 Petition for reinstatement.................. ............ 19.151 --------------------------------------------- Provisions Deleted From Former Part 19 ------------------------------------------------------------------------ Depositions................................. 19.9 ............ Temporary cease-and-desist orders........... 19.20 ............ Suspension or prohibition by notice......... 19.28 ............ ------------------------------------------------------------------------