[List of CFR Sections Affected (LSA), 1986-2000, Volume II (Titles 17 through 27)] [From the U.S. Government Printing Office, www.gpo.gov] Title 17 1986 17 CFR 51 FR Page Chapter I 1 Authority citation revised; section authority citations removed 2691, 17473 Occupational categories list revised...........................26236 1.3 (z)(1) introductory text, (iii), and undesignated text revised (effective date pending)...................................17473 Eff. 8-1-86....................................................27529 1.10 (j)(3) revised................................................45760 1.35 (d), (e) and (g) revised; (i) added; eff. 10-1-86 and 1-1-87 2691 1.46 (d)(1) revised (effective date pending).......................17473 Eff. 8-1-86....................................................27529 1.59 Added; eff. 6-12-87...........................................44869 1.61 (b)(2) and (c) revised (effective date pending)...............17473 Eff. 8-1-86....................................................27529 2 Authority citation revised.......................................37177 2.2 (b) revised....................................................37177 3 Registration expiration date deferred............................34458 3.2 (d) revised....................................................34460 3.11 Revised.......................................................34460 3.31 (d) added.....................................................34460 3.44 Added.........................................................45760 3.45 Added.........................................................45761 3.46 Added.........................................................45761 3.47 Added.........................................................45761 5 Authority citation revised.......................................17473 5.2 Revised (effective date pending)...............................17473 Eff. 8-1-86....................................................27529 5.4 Added (effective date pending).................................17474 Eff. 8-1-86....................................................27529 5 Appendix B amended...............................................21150 12.13 (b)(4) revised...............................................35507 15 Authority citation revised; section authority citations removed 4717 15.00 (l) added; eff. 8-1-86........................................4717 15.03 (a) revised..................................................21344 16 Authority citation revised; section authority citations removed 4717 Authority citation revised.....................................17474 Occupational categories list revised...........................26236 16.00 (b) revised; eff. 8-1-86......................................4717 16.01 (d) revised; eff. 8-1-86......................................4717 (a) (5), (6), and undesignated text revised; (a)(7) added......17474 16.02 (b) revised; eff. 8-1-86......................................4718 (a) introductory text, (1)(i) (A), (B), and (C), and (ii) (A) through (D) revised; (a)(1)(i) (D) and (E) removed; (a)(1)(iv) added..............................................................17474 16.04 (b) revised; eff. 8-1-86......................................4718 16.05 Removed......................................................17474 16.06 Revised; eff. 8-1-86..........................................4718 16.07 Added; eff. 8-1-86............................................4718 17 Authority citation revised; section authority citations removed 4718 17.00 (a)(1) revised; (g) and (h) added; eff. 8-1-86................4718 17.01 (a) and (c) revised; eff. 8-1-86..............................4719 17.02 Revised; eff. 8-1-86..........................................4719 17.03 Revised; eff. 8-1-86..........................................4719 18 Authority citation revised; section authority citations removed 4720 18.04 (a) (5), (8), and (9), (b)(3) and (c)(6) revised; eff. 8-1- 86..........................................................4720 21 Authority citation revised; section authority citations removed 4720 21.02 Heading and introductory text revised; eff. 8-1-86............4720 21.02a Heading, (a) introductory text, (b) (1), (3), and (4) (iv) and (x) revised; eff. 8-1-86................................4720 32 Order...........................................................12698 33.4 Introductory text republished; (a)(6)(i) revised (effective date pending)..............................................11906 [[Page 2]] (a)(5)(ii) and (b)(2) removed; (a)(5)(iii) and (6)(ii), (b)(4) introductory text, (i), and (iii), (6), and (8) revised (effective date pending)......................................................17474 (a)(6)(i) revision eff. 6-3-86.................................21344 (a)(5)(ii) and (b)(2) removal and (a)(5)(iii) and (6)(ii), (b)(4) introductory text, (i), and (iii), (6), and (8) revisions eff. 8-1-86........................................................27529 33.5 (c) revised (effective date pending)..........................17475 Eff. 8-1-86....................................................27529 33.7 (b)(2) introductory text and (i), (3), and (5), (c), and (d) revised; (b)(2)(ii) removed; (b)(2) (iii) through (viii) redesignated as (b)(2) (ii) through (vii) (effective date pending)...................................................17475 Eff. 8-1-86....................................................27529 145.0 Revised......................................................26869 145.2 Revised......................................................26869 145.3 Removed......................................................26869 145.4 Revised......................................................26869 145.5 Heading and introductory text revised........................26870 145.6 Heading, (a), and (b)(2) revised.............................26870 145.7 Revised......................................................26870 145.9 Revised......................................................26871 145 Appendix A added...............................................26874 146.9 (f) added....................................................26874 148 Authority citation revised.....................................18880 148.1 Revised......................................................18880 148.2 Revised......................................................18880 148.3 (a) and (b) revised..........................................18880 148.4 (b)(1) and (2) amended; (b)(5) and (e) revised; (b) introductory text republished..............................18880 148.5 (a) revised..................................................18880 148.11 (a) and (b) introductory text revised.......................18881 148.26 (a) revised.................................................18881 148.28 Revised.....................................................18881 149 Added...................................................22889, 22896 149.170 (c) revised................................................22889 Chapter II 200 Authority citation amended.........................1784, 4305, 25684 200.16a Added.......................................................4305 200.30-1 (d) revised...............................................18882 (f)(12) added..................................................25881 (f)(13) added..................................................44275 200.30-3 (a)(46) added...............................................739 (a)(27) revised.................................................1785 (a)(35) revised................................................25882 200.30-6 (a)(3) revised............................................18882 200.30-15 Added....................................................25684 200.80 (c)(1)(iii) introductory text corrected......................5703 200.80e Revised....................................................40790 200.503 Introductory text amended...................................5315 200.504 (g) revised; introductory text amended......................5315 200.505 (c) amended.................................................5315 200.508 (a) amended.................................................5315 200.510 (a) amended.................................................5315 200.511 (a) amended.................................................5315 200.800 (b) table amended (OMB numbers).............................9769 202.3a Effectiveness extended to 11-1-86............................4160 Added; eff. to 9-1-87..........................................40791 210 Authority citation revised......................................3770 210.3-05 (b)(1) introductory text amended..........................42056 210.3A-02 Revised..................................................17330 210.4-08 (m) added..................................................3770 211 Interpretative releases.........................................739, 17331, 25194, 33886, 36007, 39652, 41080, 43594, 44446, 45314 229.202 (b)(9) revised.............................................42056 229.304 Revised....................................................42056 229.403 (a) amended................................................42056 229.601 Table revised..............................................42057 Table corrected................................................45576 230 Authority citation amended...............................2475, 20262 230.151 Added......................................................20262 230.157 (a) amended................................................25362 230.251--230.264 (Regulation A) Authority citation revised.........12842 230.255 (c) revised................................................12842 230.457 (b) through (m) redesignated as (c) through (n); new (f)(3) and (g)(3) amended; new (b) added; new (c), (f)(1), and (h) revised.............................................2475 230.503 Revised....................................................36386 231 Interpretative releases.................................34462, 43594 239 Authority citation revised.....................................11908 239.11 Form S-1 amended............................................42057 239.12 Form S-2 amended............................................42057 239.18 Form S-11 amended...........................................42057 239.23 Form N-14 amended...........................................42057 239.25 Form S-4 amended............................................42058 239.28 Form S-18 amended....................................12843, 42058 239.34 Form F-4 amended............................................42058 239.64 Heading, introductory text, and Form SE revised.............11908 [[Page 3]] 239.500 Form D revised.............................................36387 240 Authority citation amended.....................................2475, 3034, 5707, 8801, 12127, 14982, 18580, 25882, 36551, 44275 240.0-9 Revised.....................................................2476 240.0-10 (a) amended...............................................25362 240.0-11 Added......................................................2476 240.3a12-8 (a)(1)(i) and (ii) amended; (a)(1)(iii) added...........25998 240.3a12-9 Added; eff. 4-14-86......................................8801 240.9b-1 (c)(4), (6), (7), and (8) removed; (c)(5) and (9) through (12) redesignated as (c)(4) and (6) through (9); new (c)(5) added...............................................14982 Technical correction...........................................17732 240.10a-1 (a)(1) introductory text, (i) and (ii) redesignated as (a)(1)(i) introductory text, (A), and (B); new (a)(1)(ii) added; eff. 4-21-86.........................................8804 240.12b-37 (c)(2) revised..........................................11908 240.12g-1 Amended..................................................25362 240.12g-4 (a)(1) and (2) amended...................................25362 240.12h-3 (b)(1) and (2) amended...................................25362 240.13e-1 (b) redesignated as (c); new (b) added....................2476 240.13e-3 (a)(3)(i)(C), (c)(2), (e)(1), and (f)(1)(ii) amended.....42059 240.13e-4 (a)(3), (f)(1), (2) introductory text, (i), and (ii), and (3) introductory text revised; (f)(7) added.............3034 (f)(2)(i) and (ii) corrected....................................5515 (f)(1)(ii), (2)(i), and (7) and (g)(5) revised; (f)(2)(ii) removed; (f)(2)(iii) and (g)(6) redesignated as (f)(2)(ii) and (g)(7); (f)(8) through (11) and new (g)(6) added...................25882 (f)(9) introductory text and (10) introductory text corrected 32630 240.13e-100 Schedule 13E-3 amended..................................2477 (a) amended....................................................42059 240.13e-101 Schedule 13E-4 amended..................................2477 240.14a-1 Revised...........................................42059, 44275 240.14a-2 Heading, introductory text, (a) introductory text, (4), and (6) and (b) introductory text, (1), and (b)(2)(ii) revised....................................................42059 240.14a-3 (b) introductory text, (4), (6) through (10), (10) Note, (11) Note, and (13) and (c) and Note, (d) and (e) revised; (b)(7) Note removed; (b)(1) Note 1 amended.................42059 (e)(2) revised.................................................44275 (b)(10) corrected..............................................45576 240.14a-4 (a) and (b)(2)(iii) and (iv) amended; (c)(4) and (d) revised....................................................42060 240.14a-5 (c) revised; (d) amended; (e) removed; (f) redesignated as (e) and amended.........................................42061 240.14a-6 (i) revised...............................................2477 Heading, (a)(1), (b), (c), and (d) revised; (a) Note designated as (a) Note 2 and amended; (c) Note removed; (e) through (j) redesignated as (f) through (k); new (f), (h), (j), and (k) revised; (a) Note 1, new (e), (g) heading, (i) heading, and (l) added......................................................42061 240.14a-7 Introductory text revised; (a) through (c) and (b)(2) amended....................................................42062 240.14a-8 (a)(1)(i) and (3)(i), (c)(3), and (d) revised; (a) introductory text, (1)(ii), (2), (3) introductory text and (ii) Note, and (4), (b)(1) and (2), (c) introductory text, (1), (1) Note, (2), (4) through (7), (9) through (12), (e) and flush paragraph following (e) amended..................42062 240.14a-11 (b)(1), (2), and (6) and (c)(1) through (3) amended.....42062 240.14a-13 (a) introductory text, (1), and (2) revised.............42062 Revised; eff. to 6-30-87.......................................44275 Revised; eff. 7-1-87...........................................44276 240.14a-101 Revised................................................42063 Corrected......................................................45576 240.14a-102 Amended................................................42070 240.14b-1 Introductory text, (a), (c), and (d)(1) revised; (c) note designated as note 1 and revised; (c) note 2 added....44277 240.14b-2 Added; eff. in part 7-1-87...............................44278 240.14c-1 (a) amended; (c) removed; (d) and (e) redesignated as (c) and (d); new (c) revised; new (e) and (f) added........42070 Revised........................................................44279 [[Page 4]] 240.14c-2 Revised..................................................42070 240.14c-3 (a) introductory text, (1), and (2) revised; (a)(3) through (12) and (7) Note and (10) Note removed; (b) and (b) Note amended...........................................42071 240.14c-4 (b) and (c) amended......................................42071 240.14c-5 Heading revised; (f) added................................2477 Revised........................................................42071 240.14c-7 Introductory text and (a) revised........................42071 Revised; eff. to 6-30-87.......................................44280 Revised; eff. 7-1-87...........................................44280 240.14c-101 Revised................................................42072 240.14d-7 (a) revised; (b) and (c) removed; (d) redesignated as (b)........................................................25882 (a) corrected..................................................32630 240.14d-10 Added...................................................25882 240.14d-100 Schedule 14D-1 amended..................................2477 240.14e-1 (a) and (b) revised.......................................3035 240.14e-1 (b) revised..............................................25883 (b) introductory text and proviso corrected....................32630 240.14f-1 Amended..................................................42072 240.15c3-1 (c)(2)(vi)(F) revised...................................41298 240.17Ac2-1 (c) revised............................................12127 240.17Ac2-2 Added..................................................12127 240.17Ad-1 (a) revised.............................................36551 Technical correction...........................................40792 240.17Ad-5 (e) redesignated as (g)(1) and revised; new (e), (f), and (g)(2) added............................................5707 240.17Ad-10 (c)(1) and (g) revised..................................5708 240.31-1 (f) added.................................................18580 241 Interpretative releases..........................16004, 33242, 43594 249 Authority citation revised.....................................11908 249.210 Form 10 amended............................................42072 249.310 Form 10-K amended..........................................42072 249.323 (a) amended................................................25362 249.444 Heading, introductory text, and Form SE revised............11908 249b Authority citation amended....................................12127 249b.100 Footnote 1 amended; Form TA-1 revised.....................12127 249b.102 Added; Form TA-2 added....................................12134 249b.200 Heading amended; Footnote 2 redesignated as footnote 1 and revised................................................12134 250 Authority citation amended......................................9003 250.50 (b) redesignated as (b)(1); (b)(2) added; authority citation removed; eff. 4-16-86..............................9004 250.70 Revised; eff. 4-16-86........................................9003 259.603 Heading, introductory text, and Form SE revised............11908 260.0-7 Amended....................................................25362 261 Interpretative releases........................................34462 269.7 Heading, introductory text, and Form SE revised..............11908 270 Authority citation amended......................................9778 270.2a-7 (a)(2)(v) and (vi) redesignated as (a)(2)(vi) and (vii); (a)(1), (2)(i), (ii), and (vi), and (3)(i) amended; (a)(2)(iv), (3)(iii), and (b) revised; new (a)(2)(v), (3)(iv), (c), and Note added; authority citation removed; eff. 4-21-86................................................9778 270.2a41-1 Added; eff. 4-21-86......................................9779 270.12d3-1 (d)(8)(iii) and (iv) revised; (d)(8)(v) added; authority citation removed; eff. 4-21-86....................9779 270.20a-3 (a) revised..............................................42072 270.31a-2 (f)(1) revised; (f)(2) redesignated as (f)(3); new (f)(2) added...............................................42209 274.403 Heading, introductory text, and Form SE revised............11908 275 Authority citation revised.....................................32907 275.202(a)(1)-1 Added..............................................32907 275.204-1 (b)(2) correctly designated...............................5515 1987 17 CFR 52 FR Page Chapter I 1 Occupational list categories revised..............................2920 Occupational list categories republished........................6139 Interpretation..........................................27195, 34633 Authority citation revised.....................................46072 1.3 (rr) and (ss) added............................................28994 (z)(2)(iii) revised; (z)(2)(iv) added..........................38922 1.10 (d) (1) and (2) and (g)(2) revised............................28994 1.12 (f)(3) added..................................................28248 (b)(2) revised.................................................28995 1.16 (a)(4) revised................................................28995 [[Page 5]] 1.17 (c)(2)(i) revised.............................................28250 (a)(1)(i)(B), (b)(2), (c)(5)(iii), (e)(1), (h)(2)(vi)(C), (vii) (A) and (B), (viii)(A), (3) (ii) and (v) revised.............28995 1.19 Revised.......................................................28997 1.33 (a) and (b) introductory text revised.........................28997 1.41b (a)(3) removed; (a) (1) and (2) reviseded......................779 1.42 (a) revised...................................................18910 1.59 Heading revised; (c) added....................................48977 1 Appendix B amended...............................................46072 Technical correction...........................................47705 3.16 (a)(3) revised................................................41984 4.6 Added..........................................................41984 4.12 Revised.......................................................41984 4.14 (a)(8) added..................................................41985 (a)(8)(i)(B) and (iii)(B) corrected............................43827 4.21 (a)(17)(i) introductory text and (g) revised..................41985 4.22 (c) amended...................................................41986 4.31 (f) revised...................................................41986 5 Appendix C added..................................................1446 5 Appendix B amended...............................................22635 9 Revised..........................................................25366 9.2 (k) corrected..................................................27286 9.12 (b) corrected.................................................27286 9.20 (b)(7) corrected..............................................27286 9.24 (b) corrected.................................................27286 11 Appendix A added................................................19501 15.00 (b)(1) (i) and (ii) revised..................................38922 15.02 Revised......................................................38922 15.03 (a) revised..................................................18910 (a) designation and (b) removed................................38922 16 Occupational list categories revised.............................2920 Occupational list categories republished........................6139 16.00 (a)(3) removed...............................................18910 19 Authority citation revised......................................38922 19.00 (a) and (b) introductory text revised........................38922 19.01 Heading and introductory text revised........................38923 19.02 Introductory text revised....................................38923 19.03--19.04 Removed...............................................38923 19.10 (a) and (b) revised..........................................38923 30 Revised.........................................................28998 Effective date deferred........................................48811 31 Appendixes A and B amended......................................22635 32.1 (a) revised...................................................29003 32.11 (b) revised..................................................29003 33.4 (a)(6) removed..................................................779 33.5 (c) removed.....................................................779 33.11 Added........................................................29508 140.93 (a)(1) revised; (a)(6) added................................41986 140.735-4 (b) (1) and (2) revised..................................20592 (b)(1)(iii)(B) corrected.......................................22415 145 Authority citation revised.....................................19307 145.7 (e) through (i) redesignated as (f) through (j); new (e) added......................................................19307 145 Appendix B revised; Appendix B authority citation removed......19308 150 Revised........................................................38923 166 Authority citation revised.....................................29003 166.1 (b) (1) and (2) revised......................................29003 166.2 (b) revised..................................................29003 Chapter II 200.1--200.30-15 (Subpart A) Authority citation amended.............2677 200.11 (b) amended..................................................2677 200.19b Revised....................................................12148 200.30-3 (a)(6) revised............................................19856 200.30-4 (a)(7) revised............................................12148 200.30-5 (a)(8) added...............................................2401 (a)(8) revised.................................................18690 200.80--200.83 (Subpart D) Authority citation amended...............2677 Authority citation revised; section authority citations removed............................................................24146 200.80 (c)(1)(iii) amended..........................................2677 (a)(1)(iv), (2) introductory text, and (3), (b) introductory text, (d)(5), (7)(i), and (8) introductory text, and (e)(5) amended; (b)(7)(i), (c)(1) introductory text, (d) (1), (2), (4), and (6)(ii), and (e) (1), (2), (4), and (7) introductory text revised; (e) (8) through (14) added; (f) removed; interim..........24146 Confirmed......................................................48193 200.80b (a) removed; (b) amended and designation removed; interim 24148 Confirmed......................................................48193 200.80c Heading and (a) amended; (b) revised; interim..............24148 Confirmed......................................................48193 200.80d Revised....................................................24148 Confirmed......................................................48193 200.80e Revised....................................................24148 Confirmed......................................................48193 [[Page 6]] 200.301--200.312 (Subpart H) Authority citation amended.............2677 200.303 (a)(2) amended..............................................2677 200.312 (a)(17) revised; (a)(22) removed; (a) (23) through (30) redesignated as (a) (22) through (29) and revised...........2677 201 Authority citation amended.....................................25208 201.6 (b) revised..................................................25208 202.3a Effectiveness extended to 9-1-88............................33796 203.7 (a) revised..................................................12148 210.6-07 Amended...................................................23172 211 Interpretative releases.......................................17396, 18200, 21933, 31027, 46454, 48193 229.10 (c)(1)(iii) amended.........................................21260 229.301 Instructions amended.......................................30919 229.302 (b) removed; (c) redesignated as (b) and amended...........30919 229.303 Instructions amended.......................................30919 229.304 Instructions amended.......................................21939 229.401 (f) amended................................................48982 229.501 (c)(8) revised.............................................21260 (c)(8) corrected...............................................30145 229.502 (d)(2) revised.............................................21260 (d)(2) corrected...............................................30145 229.512 (j) added..................................................21260 (h) heading and introductory text amended......................21939 (j) corrected..................................................30145 229.601 Instruction 1 (Item 601) revised...........................21260 230.423 Amended....................................................21260 230.424 (a), (b), (c), and (e) revised; (c) Note added.............21260 230.430A Added.....................................................21261 230.481 (b)(2) and (d)(2) revised..................................21262 (b)(2) corrected...............................................30146 230.482 (a)(4) added...............................................21262 230.497 (h) added..................................................21262 230.499 (c)(7) amended.............................................21262 239.13 Form S-3 amended............................................21262 Form S-3 corrected.............................................30146 239.16b Form S-8 amended...........................................21262 239.25 Form S-4 amended.....................................21262, 21938 Form S-4 corrected.............................................30146 239.33 Form F-3 amended............................................21263 Form F-3 corrected.............................................30146 239.34 Form F-4 amended.....................................21263, 21939 Form F-4 corrected.............................................30146 240 Authority citation amended.....................................3000, 8877, 9154, 16838, 27969, 42279 240.3a12-8 (a)(2) revised; eff. 4-20-87.............................8877 (a)(1)(ii) and (iii) amended; (a)(1)(iv), (v), and (vi) added 42279 240.3a43-1 Added...................................................27969 240.3a44-1 Added...................................................27970 240.10a-1 (a)(1)(ii) revised.......................................24152 240.10b-6 (a) introductory text, (1), and (2) and (c)(6) revised; (a)(3) introductory text and authority citation removed; (a)(3)(i) through (xiii) redesignated as (a)(4)(i) through (xiii); new (a)(3) and (4) introductory text added; new (a)(4)(v), (vii), (xi), and (xii) revised...................3000 240.11Aa2-1 Revised................................................24153 240.11Aa3-1 (a)(4), (5), and (6) and (b)(1) revised; (b)(2)(i) through (vii) redesignated as (b)(2)(ii) through (viii); new (b)(2)(ii) revised; new (b)(2)(i) added................24153 240.11Ac1-1 (a)(16) revised; (a)(19) removed; (a)(20) and (21) redesignated as (a)(19) and (20)...........................24153 240.13f-2(T) Added; eff. 7-1-87 (temporary).........................9154 240.14a-1 (b) through (j) redesignated as (c) through (k); new (b) added......................................................23648 240.14a-2 Heading, introductory text, (a) introductory text and (b) introductory text amended..............................21936 240.14a-3 (c) amended..............................................48982 240.14a-6 (j) introductory text revised............................21936 (a) designated as (a) introductory text and amended; (a)(1) through (5), flush text, and Notes 3 and 4 and (c) Note added; (a) Note 2 and (j) introductory text amended; (j)(1), (2), and (3) redesignated as (j)(2), (3), and (4) and revised; new (j)(1) added 48982 240.14a-8 (c)(1) amended...........................................21936 (a)(1)(ii) removed; (a)(1)(i) redesignated as (a)(1) introductory text and amended; new (a)(1)(i) and (ii) added; (d) introductory text and (e) revised..................................48983 240.14a-11 (b)(5) amended..........................................21936 240.14a-13 (a)(1)(ii)(A) corrected..................................2220 [[Page 7]] (a)(1)(i)(B), (ii)(A), (2) and Note 1, and (b)(3) revised; (a)(1)(i)(D) and (d) added.........................................23648 240.14a-14 Added...................................................21936 240.14a-101 Amended..................................21263, 21937, 48984 Corrected......................................................30146 240.14b-1 (a) introductory text corrected...........................2220 (a) introductory text revised..................................23649 240.14b-2 Note and (h) introductory text corrected..................2220 (a)(1), (b) introductory text, (e)(1), (h) introductory text and (i) Note 2 revised; (c)(1)(i)(b) correctly designated as (c)(1)(i)(B); (j) added............................................23649 240.14c-1 (b) through (i) redesignated as (c) through (j); new (b) added......................................................23649 240.14c-3 (b) amended..............................................48984 240.14c-5 (a) designated as (a) introductory text and amended; (a)(1), (2), (3), and Notes 3 and 4 and (b) Note added; (g) revised................................................48984 240.14c-7 (a)(2) and (b)(1) corrected...............................2220 (a)(1)(i)(A) and Note 1, (b)(3), and (c) revised; (a)(1)(i)(C) and (d) added......................................................23649 240.14c-101 Amended................................................48984 240.15b1-3 (b) revised.............................................16838 240.15b2-2 (a) and (b) revised.....................................16838 240.15c2-2 Removed.................................................39217 240.15c3-1 (a)(9) and (c)(2)(iv)(H) added; (c)(2)(iv)(F)(1), (2), and (3) revised............................................22298 240.15c3-3 (b)(4) added............................................30333 240.15c3-3a Table amended..........................................30334 240.15Ca1-1--240.15Cc1-1 Undesignated center heading added.........16839 240.15Ca1-1 Added..................................................16839 240.15Ca2-1 Added..................................................16839 240.15Ca2-2 Added..................................................16839 240.15Ca2-3 Added..................................................16840 240.15Ca2-4 Added..................................................16840 240.15Ca2-5 Added..................................................16840 240.15Cc1-1 Added..................................................16841 240.17a-3 (a)(4)(v) and (vi), (5) and (8) revised; (a)(4)(vii) added......................................................22299 240.17a-13 (b)(1), (2), and (3) revised............................22299 240.31-1 (f) revised...............................................24153 241 Interpretative releases........................................11458 249 Authority citation amended......................................9154 249.220f Form 20-F amended.........................................30919 249.326(T) Added; eff. 7-1-87 (temporary)...........................9155 249.501 Form BD amended............................................16841 249.501a Form BDW revised..........................................15492 Revised........................................................16844 250.45 (b)(6) added................................................48986 270 Authority citation amended..............................42284, 42428 270.20a-1 (c) revised..............................................48985 270.6c-9 Added.....................................................42284 270.6e-3(T) Revised................................................11208 270.19b-1 (a) and (c)(1)(iii) revised; (f) added...................42428 274 Authority citation amended.....................................42284 274.101 Form N-SAR amended.........................................46351 274.304 Added......................................................42284 275.206(4)-4 Added.................................................36918 276 Interpretative releases........................................38400 279.1 Form ADV amended.............................................36918 Chapter IV Chapter IV Established.............................................19682 Revised........................................................27926 400--449 (Subchapter A) Added......................................19682 Revised........................................................27926 400 Added..........................................................19682 Revised........................................................27926 401 Added..........................................................19685 Revised........................................................27930 402 Added..........................................................19687 Revised........................................................27931 402.2a Schedules B and C correctly revised.........................23141 403 Added..........................................................19702 Revised........................................................27947 404 Added..........................................................19706 Revised........................................................27952 405 Added..........................................................19708 Revised........................................................27954 449 Added..........................................................19710 Revised........................................................27956 450 (Subchapter B and Part) Added..................................19711 Revised........................................................27957 [[Page 8]] 1988 17 CFR 53 FR Page Chapter I 1.10 (d)(1) (iii) through (vi) redesignated as (d)(1) (iv) through (vii); (a)(1) and new (d)(1)(iii) and (k) added; new (d)(1)(v), (2) (ii) and (iv) and (g) (1) and (2) revised 4611 (d) (1) and (2) correctly revised...............................7179 1.12 (a)(2) revised.................................................4612 1.16 (d)(1) and (2)(iv), (f)(1)(iv) and (vii)(C) revised............4612 1.46 (d)(6) and (e) added............................................614 1.52 (a) revised....................................................4612 1.59 Technical correction............................................615 1 Appendix B fee schedule; eff. 6-6-88..............................7179 3.2 (d) removed; (e) redesignated as (d); (a) and new (d) revised; eff. 4-4-88.................................................8431 3.10 (b) revised; (d) added; eff. 4-4-88............................8431 3.12 (c)(1)(ii), (d) heading, (1) introductory text and (iii), (2) and (3) revised; (d)(1)(vi), (4) and (5) added; eff. 4-4- 88..........................................................8431 3.12a-(T) Removed; eff. 4-4-88......................................8431 3.13 (b) revised; (c) added; eff. 4-4-88............................8431 3.14 (b) revised; (c) added; eff. 4-4-88............................8432 3.15 (b) revised; (c) added; eff. 4-4-88............................8432 3.16 (c)(1)(ii), (d) heading, (1) introductory text, and (iii), (2) and (3) revised; (d)(1)(vi) and (4) added; eff. 4-4-88 8432 3.17 (b) revised; (c) added; eff. 4-4-88............................8432 3.18 (c)(1)(ii), (d) heading, (1) introductory text and (iii), (2) and (3) revised; (d)(1)(vi), (4) and (5) added; eff. 4-4- 88..........................................................8432 3.22 (a) and (b) revised; eff. 4-4-88...............................8433 3.31 (a) and (c)(1) introductory text revised; eff. 4-4-88..........8433 3.32 (a), (d), (e)(1), (g) and (h) revised; eff. 4-4-88.............8433 3.33 (a)(3), (b) introductory text, (e) and (f) revised; eff. 4-4- 88..........................................................8434 3.40 (d) added; eff. 4-4-88.........................................8435 3.42 (a)(2) revised; (a)(3) added; eff. 4-4-88......................8435 3.44 (a)(4)(i) and (c) revised; eff. 4-4-88.........................8435 3.46 (a)(3) revised; eff. 4-4-88....................................8435 5 Appendix B fee schedule; eff. 6-6-88..............................7179 Appendix D added...............................................30672 12 Authority citation revised......................................17692 12.406 (d) added...................................................17692 15.03 Revised......................................................50923 Order..........................................................44856 30 Interim order....................................................3338 Interim order extended.........................................11491 Appendix B added...............................................28832 Appendix B amended...............................28840, 28848, 30673 31 Appendix A fee schedule; eff. 6-6-88.............................7179 Appendix B amended.............................................22139 140.735-8 (b) revised..............................................27678 145.5 (d)(1)(i) (C) through (F) redesignated as (d)(1)(i) (E) through (H); new (d)(1)(i) (C) and (D) added................4613 145.6 (b) (1) and (2) amended; eff. 4-4-88..........................8435 146.12 (a) and (b) amended.........................................35198 147.3 (b)(4)(i)(A) (3) through (6) redesignated as (b)(4)(i)(A) (5) through (8); new (b)(4)(i)(A) (3) and (4) added.........4613 150.1 (d) added....................................................41571 150.3 Revised......................................................41571 Chapter II 200 Authority citation revised.....................................25882 Interpretation.................................................42944 200.1--200.30-15 (Subpart A) Authority citation revised............17458 200.30-1 (j) added.................................................12921 200.30-3 (a)(6) revised............................................30839 (a)(47) added..................................................51538 200.30-14 (f) added; authority citation removed....................17458 200.81 Heading and (a) revised; (b) text and Note and (c) amended 12413 (a) revised....................................................32605 200.601--200.670 (Subpart L) Added..........................25882, 25885 200.670 (c) revised................................................25882 200.735-3 (b)(7)(ii) revised; (b)(7)(iii) amended..................17458 200.735-5 Revised..................................................18553 200.800 (b) table amended (OMB numbers).............................9764 201.1--201.29 (Subpart A) Authority citation added.................28191 [[Page 9]] 201.2 (e)(7) revised...............................................26434 201.23 (e) added...................................................28191 202.3a Effectiveness extended to 9-1-90............................32891 211 Interpretative releases.......109, 110, 865, 1341, 7892,29226,33454, 34715, 47801 229.304 Revised....................................................12929 230.100--230.215 Authority citation revised........................17459 230.122 Amended....................................................17459 230.144 (a)(3) revised.............................................12921 230.174 (d) and (e) redesignated as (e) and (f); new (d) added.....11845 230.215 (e) removed; (f) and (g) redesignated as (e) and (f); new (g) added; (a), (c), new (f), and (h) revised; eff. 4-11- 88..........................................................7868 230.420 Revised; eff. 5-1-88........................................3878 230.424 (a) revised; (f) added; eff. 5-1-88.........................3878 230.482 (a) introductory text and (1), (c) Note and (d) revised; (a)(3) Note, (5), (6) and Note and (e) through (f) added; eff. 5-1-88.................................................3879 (e)(1)(i) and (ii) eff. date deferred to 7-1-88................15022 Technical correction............................................9768 230.497 Heading, (a) and (g) revised; (i) added; eff. 5-1-88........3880 230.499 (c)(7) revised; eff. 5-1-88.................................3880 230.501 (a)(5) removed; (a)(6) and (7) redesignated as (a)(5) and (6); (a)(1), (3), new (6) and (8) revised; new (a)(7) and (e)(3) added; (c) amended; eff. 4-11-88.....................7868 230.502 (b)(2)(i)(A), (B), and (C) redesignated as (b)(2)(i)(B), (C), and (D); new (b)(2)(i)(A) added; new (b)(2)(i)(B) heading and (C) heading, (ii)(B) and (vi) revised; (b)(2)(i)(D) amended; eff. 4-11-88..........................7869 230.504 Heading, (b), and Notes 1 and 2 revised; Note 3 added.......7869 230.701 Added......................................................12921 230.702(T) Added (temporary).......................................12922 230.703(T) Added (temporary).......................................12922 231 Interpretative releases........................................29226 239.15A Form N-1A amended; eff. 5-1-88........................3196, 3881 239.701 Added......................................................12922 Designation and Form N-1A corrected.............................5269 240 Authority citation amended.......................26394, 33459, 37289 240 Document at 53 FR 41205 classification corrected to RULES......43800 240.0-4 Amended....................................................17459 240.3a12-8 (a)(1)(v) and (vi) amended; (a)(1)(vii) through (xii) added......................................................43863 240.7c2-1 Removed..................................................41206 240.10b-10 (a)(8)(ii) added........................................40721 240.10b-21(T) Added (temporary)....................................33460 240.12a-5 (e) amended..............................................41206 240.14a-1 (b) revised; (d) through (k) redesignated as (e) through (l); new (d) added.........................................16405 240.14a-13 (a)(1)(ii)(A) and (B), (2), and Notes 1 and 2, (b)(3) and (d) revised; (a)(1)(ii)(C) and Note 3 added............16405 240.14a-101 Amended................................................12931 240.14b-1 (d) redesignated as (e); new (d) added...................16405 240.14b-2 (e)(2)(i) and (f)(1) revised; (j) removed; (g) through (i) redesignated as (h) through (j); new (g) added; new (h) revised................................................16405 240.14c-1 (b) revised; (d) through (j) redesignated as (e) through (k); new (d) added.........................................16406 240.14c-7 (a)(1)(ii)(A) and (B), (2), and Note 3, (b)(3) and (d) revised; new (a)(1)(ii)(C) and Note 4 added................16406 240.15a-3 Removed..................................................41206 240.15b2-2 (f) added; eff. to 1-31-89...............................4121 240.15b7-1 Removed.................................................41206 240.15c2-3 Removed.................................................41206 240.15c2-8 (d) amended.............................................11845 240.15Al2-1 Removed................................................41206 240.17a-3 (a)(9)(i) and (ii) amended...............................16406 240.17f-1 (a) through (f) revised..................................37289 Revision corrected.............................................40721 240.19a3-1 Removed.................................................41206 240.19b-3 Removed..................................................41206 240.19c-4 Added....................................................26394 Technical correction...........................................26992 240.31-1 (f) amended...............................................17182 241 Interpretative releases........................................29226 249.308 Form 8-K amended...........................................12931 249.501 Form BD amended; eff. 4-27-88...............................2485 [[Page 10]] 249.501 Form BD amended............................................23385 250.104 (c) amended; flush text designated as (d) and revised......17459 260.0-6 Amended....................................................17459 270.24b-3 Added; eff. 5-1-88........................................3880 270.31a-2 (a)(2) amended; (a)(3) added; eff. 5-1-88.................3880 270.34b-1 Added; eff. 5-1-88........................................3880 270.34b-1 (b) and (c) eff. date deferred to 7-1-88.................15022 271 Interpretative releases........................................29226 274.11A Form N-1A amended; eff. 5-1-88........................3196, 3881 Form N-1A corrected.............................................5269 274.11A Form N-1A eff. date deferred in part to 7-1-88.............15022 274.11b Form N-3 amended; eff. 5-1-88...............................3883 274.11b Form N-3 eff. date deferred in part to 7-1-88..............15022 274.11c Form N-4 amended; eff. 5-1-88...............................3885 274.11c Form N-4 eff. date deferred in part to 7-1-88..............15022 275 Authority citation amended.....................................32034 275.204-2 (a)(11) and (e)(1) revised; (a)(16) and (e)(3) added.....32035 300.500--300.503 Undesignated center heading added.................10369 300.500 Added......................................................10369 300.501 Added......................................................10369 300.502 Added......................................................10370 300.503 Added......................................................10370 400.2 (c)(1), (3)(iv), and (7) revised; (c)(3)(v) redesignated as (c)(3)(vi); new (c)(3)(v) added............................28984 402.2 (e)(1)(vi), (vii), and (viii) redesignated as (e)(1)(vii), (viii), and (ix) and revised; new (e)(1)(vi) added; (g)(1)(iv) revised.........................................28984 402.2a (a)(1)(iii)(B) and (C), (iv)(B) and (C), (3)(i)(A) introductory text and (1), (ii)(A) introductory text and (1) revised; (a)(1)(iii)(D) and (iv)(D) added; (c) amended 28985 403.1 Revised......................................................28986 403.4 (e) revised..................................................28986 403.5 (d)(1) introductory text revised; (e)(5) and (6) added; (f)(3) removed; OMB number.................................28986 403.7 (b), (d)(1) introductory text and (2) introductory text, and (e) revised; (c) amended...................................28986 404.4 (a)(2) and (3)(i)(A) revised.................................28987 450.1 (b) amended..................................................28987 1989 17 CFR 54 FR Page Chapter I 1 Authority citation revised.......................................41077 1.3 (ff) revised...................................................41077 1.35 (a-2) added...................................................33881 1 Appendix B fee schedule..........................................22426 3 Authority citation revised.......................................19557 3.2 (c) revised....................................................19558 3.3 (a) revised....................................................19558 3.17 (a) and (c) revised...........................................19558 3.18 (c) (3), (4), (d) (1), (3), (4), and (5) revised..............19558 3.20 (d)(2) removed................................................19558 3.21 (a) introductory text republished; (a)(1) revised.............19558 3.31 (c)(1) introductory text and (2) revised......................19558 3.32 (b), (c), (d) (2), (3), (e), (f), and (h) revised.............19559 3.33 (a) introductory text, (b) introductory text, (e), and (f) introductory text revised..................................41078 (e) corrected..................................................46503 3.40 Introductory text and (b) revised.............................19559 3.43 (b)(1) revised................................................19559 4 Interpretation....................................................5597 Interpretation; comment time extended..........................15748 5 Appendix B fee schedule..........................................22426 30 Appendix B amended..............................................37644 Table amended...........................................50356, 50363 30 Appendix C added..................................................809 Amended...................................21604, 21609, 21614, 21618 Amended; eff. 4-17-89..........................................11182 31.1 Removed.......................................................41078 31.2 Removed.......................................................41078 31.4 (g) revised...................................................41078 31.5 (a) introductory text and (b) revised; (c), (d), (e) and (g) removed; new (c) added; (f) redesignated as (d)............41078 31.6 (a) (1), (4), (5) and (b)(1) revised; (a)(6) added............41079 31.7 (c) revised...................................................41079 [[Page 11]] 31.8 (a)(2)(ii), (b) and (e) revised; (a)(2)(iii) (A) and (B) redesignated as (a)(2)(v) (A) and (B); (a)(2) (iii) and (iv) added.................................................41079 31.9 (a) (2), (4) and (d) revised..................................41079 31.11 (a)(1) amended; (a)(2) (ii), (viii), (e), (h), (k)(1) introductory text and (i), (ii) introductory text, (2) introductory text, (i), and (ii) introductory text revised; (m) added.........................................41080 (a)(1) and (e)(2) corrected....................................46503 31.12 (h) added....................................................41081 (h) corrected..................................................46503 31.13 (a) introductory text, (b)(2) and (c) revised; (f) (3) and (4) redesignated as (f)(4) and (5); new (f)(3) added; (g)(2), (j), (k), (l)(1) introductory text, (1)(vii), (2), (3), and (m) revised.......................................41081 31.16 Revised......................................................41082 31.21 Revised......................................................41082 31.22 Revised......................................................41082 31.24 Removed......................................................41082 31.25 (b) revised..................................................41082 31.26 Introductory text revised; (a) designation and (b) removed; (a) (1) through (12) redesignated as (a) through (l).......41083 31.27 Added........................................................41083 31.28 Added........................................................41083 31.29 Added........................................................41084 Corrected......................................................46503 31 Appendix B fee schedule.........................................22426 Appendix B removed.............................................41084 34 Added...........................................................30692 140 Authority citation added; section authority citations removed 18099 140.2 (c) and (d) revised..........................................18099 140.735-8 (b) revised.......................................23208, 31814 142 Added..........................................................25234 145.5 (d)(1)(i)(H) revised.........................................41084 145.6 (a) revised..................................................18099 (b)(1) revised.................................................19559 (a) corrected..................................................19886 147.3 (b)(4)(i)(A)(8) revised......................................41084 180 Authority citation revised......................................1684 180.3 (b)(4) revised................................................1684 Chapter II 200 Authority citation removed.....................................18100 200.1--200.30-16 (Subpart A) Authority citation revised............18100 Authority citation amended.....................................24331 200.15 Removed.....................................................18100 200.16 Revised.....................................................18100 200.19b Revised....................................................24331 200.21 (b) redesignated as (c); (a) revised; new (b) added.........18100 (a) amended....................................................24331 Authority citation removed.....................................24332 200.30-1 (d) revised; eff. 4-19-89.................................11371 200.30-3 (a)(48) added.............................................28797 200.30-4 Introductory text and (a)(7) revised......................24331 Authority citation removed.....................................24331 200.30-8 Removed...................................................18101 200.30-10 (b) redesignated as (c); new (b) added...................53051 200.30-14 Introductory text revised; (g), (h), and (i) added.......18101 (f) revised....................................................33500 200.30-16 Added....................................................18102 200.80 (b)(7)(i) introductory text, (A), (ii) and (8) revised......24331 200.200--200.205 (Subpart G) Authority citation revised............40862 200.203 (c) introductory text amended; (c)(1)(i) through (vi) revised; (c)(1)(vii), (viii), and (ix) removed.............40862 200.301--200.312 (Subpart H) Authority citation revised............40862 Authority citation corrected...................................46373 200.303 (a)(2) amended.............................................40862 (a)(2) corrected...............................................50307 200.312 (a) introductory text and (1) through (8) revised; (a)(9) through (29) removed.......................................24332 (a)(8), (10) and (18) removed; (a)(9), (11) through (17), and (19) through (29) redesignated as (a)(8) through (a)(26) and republished........................................................40863 (a)(8) revised.................................................46373 Corrected......................................................46373 200.402 (a)(5)(iv), (7)(i)(A), (ii), (8) and (9)(ii) revised.......24332 Authority citation removed.....................................24332 200.735-3 (b)(7)(ii) and (iii) revised; Footnote 6 unchanged.......33500 200.800 Amended; OMB numbers.......................................13057 201.31 Revised.....................................................53051 201.32 Revised.....................................................53051 201.33 (b) redesignated as (c); new (b) added......................53051 201.34 (b) revised.................................................53051 201.35 (a) revised.................................................53051 [[Page 12]] 201.36 (b) revised.................................................53051 201.37 Revised.....................................................53051 201.41 (b) revised.................................................53051 201.44 (c) removed; (b) redesignated as (c); new (b) added.........53052 201.54 Revised.....................................................53052 201.55 (a) revised.................................................53052 201.59 Revised.....................................................53052 201.61--201.68 (Subpart C) Added...................................28799 202 Authority citation revised.....................................24332 202.5 Authority citation removed; (b) revised......................24332 203.2 Revised......................................................24333 210.3-06 Added; eff. 4-12-89.......................................10315 210.3-12 (d) and (e) redesignated as (e) and (f); new (d) added; eff. 4-12-89...............................................10316 211 Interpretative releases........................................22427 211 Staff Accounting Bulletin No. 81 added.........................14073 Staff Accounting Bulletin No. 82 added.........................29333 Staff Accounting Bulletin No. 83 added.........................32333 Staff Accounting Bulletin No. 84 added.........................32334 Staff Accounting Bulletin No. 85 added.........................39351 Staff Accounting Bulletin No. 86 added.........................41084 Staff Accounting Bulletin No. 87 added.........................51880 229.304 (a)(3) revised; eff. 4-7-89.................................9774 230.122 Amended....................................................33501 230.215 Introductory text republished; (a) revised; eff. 4-19-89 11372 230.501 Introductory text, (a)(1), (c), (e)(2) and (h)(4) revised; (e) introductory text and (h) introductory text republished; eff. 4-19-89..................................11372 230.502 Introductory text, (b)(1), Note, (2)(i), (D), (ii) introductory text, (iii), (iv) and (d) introductory text revised; new (b)(2)(vii) and (d) concluding text added; eff. 4-19-89...............................................11372 230.503 (a) revised; eff. 4-19-89..................................11373 230.504 (b)(1) revised; new (b)(2)(ii) added; eff. 4-19-89.........11373 230.505 (b)(1) and (2)(ii) revised; eff. 4-19-89...................11373 230.506 (b)(1), (2)(i) and (ii) revised; eff. 4-19-89..............11373 230.507 Added; eff. 4-19-89........................................11374 230.508 Added; eff. 4-19-89........................................11374 231 Comment time extended..........................................17947 Interpretative releases..................................5600, 22427 239.17a Form N-3 amended; eff. 5-1-89...............................4776 239.17b Form N-4 amended; eff. 5-1-89...............................4778 239.500 Revised; eff. 4-19-89......................................11374 240 Authority citation amended.........23976, 28813, 30031, 35481, 37789 240.3a12-10 Added..................................................37789 240.12b-25 (a) and (b)(2)(ii) revised; eff. 4-12-89................10316 240.13a-10 Revised; eff. 4-12-89...................................10316 240.13a-13 (a) revised; eff. 4-12-89...............................10317 240.14a-3 (b)(1) Note redesignated as Note 1, and Note 2 added; eff. 4-12-89...............................................10318 240.15a-6 Added....................................................30031 240.15c2-6 Added...................................................35481 240.15c-12 Added...................................................28813 240.15d-10 Revised; eff. 4-12-89...................................10318 240.15d-13 (a) revised; eff. 4-12-89...............................10319 240.19c-5 Added....................................................23976 240.31-1 (f) amended...............................................20526 241 Interpretative releases.........................................5600 241 Comment time extended..........................................17947 Interpretative releases.................................22427, 28814 249.220f Heading, (a) and (b) revised; (d) added; Form 20-F amended; eff. 4-12-89......................................10319 249.308 Form 8-K amended; eff. 4-7-89...............................9774 Form 8-K amended; eff. 4-12-89.................................10320 Heading revised; section and Form 10-Q amended; eff. 4-12-89 10320 249.310 Heading revised; text amended; Form 10-K amended; eff. 4- 12-89......................................................10321 249.322 Section and Form 12b-25 amended; eff. 4-12-89..............10321 260.0-6 Amended....................................................33501 270.8b-16 Revised; eff. 4-12-89....................................10321 270.11a-3 Added....................................................35185 270.17f-1 (b)(4) revised...........................................32049 270.17f-2 (f) revised..............................................32049 270.30b1-2 Revised; eff. 4-12-89...................................10321 270.30b1-3 Added; eff. 4-12-89.....................................10321 270.32a-3 Added....................................................31332 271 Interpretative releases........................................22427 [[Page 13]] 274.11A Form N-1A amended; eff. 5-1-89..............................4776 274.11b Form N-3 amended; eff. 5-1-89...............................4776 274.11c Form N-4 amended; eff. 5-1-89...............................4778 274.101 Revised; Form N-SAR amended; eff. 4-12-89..................10322 274.219 Added......................................................32049 274.220 Added......................................................32049 275.206(4)-2 (a)(5) revised........................................32049 275.206(4)-3 (a)(1)(iii) note corrected............................32441 279.8 Added........................................................32049 1990 17 CFR 55 FR Page Chapter I 1 Interpretative rule..............................................17932 Fee schedule...................................................19725 1.35 (a), (a-1)(2), (4), and (d) revised; (j) through (l) added.....8137 (a), (a-1)(2) and (4), (d)(1) through (3), (5), (7) and (8), and (j)(1) through (4), (7), (8), (k), and (l) eff. 5-7-90..........8127 (d)(4) and (6) and (j)(5) and (6) eff. 6-5-90...................8127 1.63 Added; eff. 4-5-90.............................................7890 3 Interpretation....................................................3205 3.3 Removed........................................................32242 3.80--3.91 (Subpart F) Removed.....................................41067 Correctly removed..............................................49029 4 Interpretation....................................................3205 5 Appendix B fee schedule...........................................4993 30 Order...........................................................14238 Technical correction...........................................25925 30 Appendix B amended; eff. 4-4-90..................................7706 Amended..........................................23909, 26429, 28373 30 Appendix C amended.......................................10614, 23909 31 Appendix A fee schedule..........................................4993 140.96 (b) and (c) redesignated as (c) and (d); new (b) added......35897 141 Added...........................................................5207 171 Added..........................................................41068 Chapter II 200.1--200.30-16 (Subpart A) Authority citation revised............11168 200.30-1 (g) and (h) removed; (i) and (j) redesignated as (g) and (h)........................................................11168 (i) added......................................................17943 (j) added......................................................18322 Technical correction...........................................20894 200.30-3 (a)(49) added.............................................19062 (a)(38) revised................................................45603 200.30-11 (e) added................................................11168 200.80 (c)(1) introductory text, (e)(7)(i) and (ii) revised; (c)(1)(iii) amended........................................41188 200.80e Amended....................................................41189 200.301--200.312 (Subpart H) Authority citation revised............19872 200.313 Added......................................................19872 200.400--200.410 (Subpart I) Authority citation revised............10235 200.410 (d) added..................................................10235 202.3a Effective date extended to 9-1-92...........................34011 211 Staff Accounting Bulletin No. 88 added.........................33284 229 Authority citation revised.....................................23922 229.512 (f) and authority citation removed; (g), (h), (i), and (j) redesignated as (f), (g), (h) and (i); new (h) introductory text revised..................................23922 229.601 Authority citation revised; (b)(5) note added..............23922 230 Authority citation amended..............................17943, 18322 Authority citation revised.....................................23922 230.144 (d)(3) removed; (d)(4) redesignated as (d)(3); (a)(3), (c)(2), (d)(1), (2), new (3)(iv) through (vii), and note, and (k) revised; new (d)(3)(viii) added....................17944 Technical correction...........................................20894 230.144A Added.....................................................17945 Technical correction...........................................20894 230.145 (d) revised................................................17944 Technical correction...........................................20894 230.402 Authority citation removed; (c) added......................23922 230.405 Amended....................................................23923 230.416 Authority citation removed.................................23922 Heading revised; (c) added.....................................23923 230.424 Authority citation removed.................................23922 (b) amended....................................................23923 230.428 Added......................................................23923 230.457 Authority citation removed.................................23922 (h) revised....................................................23924 230.462 Added......................................................23924 [[Page 14]] 230.472 Authority citation removed.................................23922 (d) added......................................................23924 230.475a Heading revised; introductory text amended................23924 230.501--230.508 (Regulation D) Preliminary Note 7 revised.........18322 230.502 (a) Note revised...........................................18322 230.901--230.904 (Regulation S) Added..............................18322 239.13 Form S-3 amended............................................23925 239.16b Revised....................................................23925 Form S-8 revised...............................................23925 239.33 Form F-3 amended............................................23924 239.144 Amended....................................................40162 240 Authority citation amended.....................................23929 Authority citation amended.....................................50320 240.10b-4 Redesignated as 240.14e-4; heading, (a)(1), (5), (b) introductory text, (1) and (c) revised; (b)(3), (d) and authority citation removed.................................50320 240.14e-4 Redesignated from 240.10b-4; heading, (a)(1), (5), (b) introductory text, (1) and (c) revised; (b)(3), (d) and authority citation removed.................................50320 240.15d-21 (a)(1) amended; (a)(2) and (b) revised; (a)(3) removed 23929 Technical correction...........................................27933 241 Interpretative rules...........................................17949 249.311 Text and Form 11-K amended.................................23929 250 Authority citation amended.....................................11366 250.52 Added.......................................................11366 270 Authority citation revised......................................7710 270.11a-3 Technical Correction......................................1641 270.12d1-1 Added; eff. 4-4-90.......................................7710 271 Interpretive rules.............................................34551 274.220 Appendixes A and B corrected.................................959 279.8 Appendix corrected.............................................959 Chapter IV 400.3 (b) revised...................................................6604 401.9 Added........................................................27462 (n) corrected..................................................29293 403.5 (d)(1)(iii) revised...........................................6604 449.1 Nomenclature change...........................................6604 449.2 Nomenclature change...........................................6604 449.3 Nomenclature change...........................................6604 449.4 Nomenclature change...........................................6604 450.2 (a)(1) removed; (a)(2) and (3) redesignated as (a)(1) and (2).........................................................6604 1991 17 CFR 56 FR Page Chapter I 1 Fee schedule.....................................................12444 1.39 (b) redesignated as (c) and revised; new (b) added; eff. 4- 24-91......................................................12344 1.41 (l)(1)(i), (ii) and (iii) revised; (l)(1)(iv) removed.........42685 1.46 (d)(7) added..................................................14314 4 Advisory..........................................................8109 4.21 (a)(4) introductory text, (ii)(F) and (5) introductory text revised....................................................28056 4.31 (a)(3) introductory text revised..............................28056 5 Fee schedule.....................................................12444 5.4 Removed........................................................43697 15.00 Heading and (b)(2) revised...................................43697 15.01 Introductory text and (d) revised............................14194 15.03 Revised......................................................14194 16.04 Removed......................................................14194 19 Heading revised.................................................14194 19.00 (a)(2) and (b) introductory text revised.....................14194 19.02 Revised......................................................14194 19.10 Introductory text revised....................................14194 30 Authority citation revised.......................................3208 Appendix B amended....................3208, 6262, 8113, 51650, 66346 Appendix C amended......................................14019, 66345 31 Fee schedule....................................................12444 33.4 (a)(5)(iii), (b)(1)(iv), (d)(1) and (g) revised; (b)(2) added 43697 150.1 (d) redesignated as (e) and revised; new (d) added...........14315 150.3 (a)(4), (b) introductory text, (1) and (3)(i) through (iii) revised....................................................14315 Chapter II 200 Implementation.................................................22824 200.1--200.30-16 (Subpart A) Authority citation revised.....22319, 30052 200.30-1 (e)(5) through (8) added..................................22319 (f)(14) added; authority citation removed......................30053 200.30-3 (a)(50) added.............................................27194 [[Page 15]] (a)(35) revised; authority citation removed....................30053 200.30-5 (a)(9) added..............................................12446 201 Authority citation revised.....................................30053 201.24 Introductory text amended; authority citation removed.......30053 210 Authority citation revised..............................30053, 57247 210.3-01 (h) revised; authority citation removed...................30053 210.3-02 (d) revised; authority citation removed...................30053 210.3-12 (f) revised; authority citation removed...................30053 210.3-19 (a) revised; authority citation removed...................30053 210.11-01 (a)(6) and (7) redesignated as (a)(7) and (8); new (a)(6) added...............................................57247 211 Staff Accounting Bulletin No. 89 added...........................951 Staff Accounting Bulletin No. 90 added..........................4939 Staff Accounting Bulletin No. 91 added.........................33376 Interpretive releases..........................................37000 229 Authority citation revised...............................7265, 22319 229.302 (a)(5) introductory text revised; authority citation removed....................................................30053 229.402 General Instruction 1 revised..............................30053 229.404 Authority citation removed.................................30053 Instruction 3 revised..........................................30054 229.405 Added; eff. 5-1-91..........................................7265 229.510 Amended....................................................48103 229.512 (j) added..................................................22319 229.601 (b)(10)(iii)(B)(5) revised.................................30054 229.901--229.915 (Subpart 229.900) Added...........................57247 230 Authority citation revised.....................................30054 Authority citation redesignated from 230.100--230.215 authority citation.................................................56299 230.100--230.215 Authority citation redesignated as part 230 authority citation.........................................56299 230.158 (a) and (b) revised; authority citation removed............30054 230.175 (b)(1)(i) revised; authority citation removed..............30054 230.424 (b)(3) revised; (b)(6) added...............................30054 230.430A (a)(2) revised............................................48103 230.467 Added......................................................30054 230.473 Authority citation removed.................................30054 (d) revised....................................................30055 230.480-230.489 Note revised.......................................56299 230.482 (a)(6) amended; (a)(7) added; (d) revised; eff. 6-1-91......8124 230.489 Added......................................................56299 230.502 Authority citation removed.................................30054 (b)(2)(i)(D) and (ii)(D) revised...............................30055 231 Interpretive releases...................................28986, 37000 239 Authority citation revised.....................................30055 239.12 (e) revised; Form S-2 amended...............................30055 239.13 (a) (5) revised; Forms S-3 and S-4 amended..................30055 Forms S-8 and S-11 amended.....................................30056 239.15A Form N-1A amended; eff. 6-1-91..............................8129 239.17a Form N-3 amended; eff. 6-1-91...............................8129 239.17b Form N-4 amended; eff. 6-1-91...............................8129 239.25 Form S-4 amended............................................57254 239.31 Authority citation removed..................................30055 (a) revised; Form F-1 amended..................................30056 239.32 Authority citation removed..................................30055 (a), (b)(2), (d), (e) and (g) revised; Form F-2 amended........30056 239.33 Authority citation removed..................................30055 (a)(1), (6)(iii), (6) note, (b)(1) and (3) revised; Form F-3 amended............................................................30057 239.34 Revised; Form F-4 amended...................................30058 Form F-4 amended...............................................57254 239.37 Added.......................................................30060 239.38 Added.......................................................30061 239.39 Added.......................................................30063 239.40 Added.......................................................30064 239.41 Added.......................................................30065 239.42 Added.......................................................30067 239.43 Added.......................................................56299 240 Authority citation amended...........7265, 9129, 19156, 28322, 30067 Authority citation corrected...................................12118 240.12g-3 Authority citation removed...............................30067 (a), (b) and (c)(2) revised; (c)(3) removed....................30068 [[Page 16]] 240.12a-7 Added....................................................28322 240.12g3-2 Authority citation removed..............................30067 (b)(4), (d)(1) and (2) revised.................................30068 240.12h-4 Added....................................................30068 240.3a12-2 Removed.................................................32078 240.3a12-3 (b) revised; authority citation removed.................30067 240.3b-6 (b)(1)(i) revised; authority citation removed.............30067 240.3b-7 Amended; eff. 5-1-91.......................................7265 240.12h-2 Removed; eff. 5-1-91......................................7265 240.13a-3 Added....................................................30068 240.13a-10 (g)(1) and (i) note revised.............................30068 240.13a-16 Authority citation removed..............................30067 (a) revised....................................................30068 240.13e-4 Authority citation removed...............................30067 (g) redesignated as (h); new (g) added.........................30069 240.13e-102 Added..................................................30069 240.14a.6 (m) added................................................57254 240.14a-101 Amended; eff. 5-1-91....................................7265 240.14c.2 (c) added................................................57254 240.14d-1 Authority citation removed...............................30067 (b) redesignated as (c); new (b) added.........................30071 240.14d-102 Added..................................................30071 240.14d-103 Added..................................................30073 240.14e-1 (a) revised..............................................57255 240.14e-2 Authority citation removed...............................30067 (c) added......................................................30075 240.15c2-11 Preliminary note added; (a) introductory text, (1) through (4), (5) introductory text, (5) concluding text, (b) through (d) and (f)(5) revised; (a)(5)(i) through (xvi) amended; authority citation removed..................19156 240.15c3-1 (e) revised; eff. 5-6-91.................................9129 240.15d-4 Added....................................................30075 240.15d-5 Authority citation removed...............................30067 (b) revised; (c) added.........................................30075 240.15d-10 (g)(1) and (i) note revised.............................30075 240.15d-16 Authority citation removed..............................30067 (a)(2) removed; (a)(3) redesignated as (a)(2)..................30075 240.16a-1--240.16a-10 Undesignated center heading revised; sectional authority citations removed.......................7265 240.16a-1 Revised; eff. 5-1-91......................................7265 (a)(2)(ii)(A) and (f) amended; (c)(3)(i) and (ii) revised......19927 240.16a-2 Revised; eff. 5-1-91......................................7267 240.16a-3 Revised; eff. 5-1-91......................................7267 240.16a-4 Revised; eff. 5-1-91......................................7268 (b) introductory text and (c) introductory text revised........19927 240.16a-5 Revised; eff. 5-1-91......................................7268 240.16a-6 Revised; eff. 5-1-91......................................7268 240.16a-7 Revised; eff. 5-1-91......................................7269 240.16a-8 Revised; eff. 5-1-91......................................7269 (b) introductory text revised..................................19927 240.16a-9 Revised; eff. 5-1-91......................................7269 240.16a-10 Revised; eff. 5-1-91.....................................7269 240.16a-11 Removed; eff. 5-1-91.....................................7265 240.16b-1--240.16b-8 Undesignated center heading republished........7270 240.16b-1 Revised; eff. 5-1-91......................................7270 240.16b-2 Revised; eff. 5-1-91......................................7270 240.16b-3 Revised; eff. 5-1-91......................................7270 (c)(2)(i), (e) introductory text and (g) revised...............19927 240.16b-4 Revised; eff. 5-1-91......................................7272 240.16b-5 Revised; eff. 5-1-91......................................7272 240.16b-6 Revised; eff. 5-1-91......................................7272 240.16b-7 Revised; eff. 5-1-91......................................7273 240.16b-8 Revised; eff. 5-1-91......................................7273 240.16b-9 Removed; eff. 5-1-91......................................7270 240.16b-10 Removed; eff. 5-1-91.....................................7270 240.16b-11 Removed; eff. 5-1-91.....................................7270 240.16c-1--240.16c-4 Undesignated center heading revised............7273 240.16c-1 Revised; eff. 5-1-91......................................7273 240.16c-2 Revised; eff. 5-1-91......................................7273 240.16c-3 Revised; eff. 5-1-91......................................7273 240.16c-4 Added; eff. 5-1-91........................................7273 241 Interpretive releases............................19928, 28986, 37000 249 Authority citation revised.....................................30075 249.103 Revised; eff. 5-1-91........................................7274 249.104 Form 4 amended.............................................14467 Form 3 amended; eff. 5-1-91.....................................7275 249.104 Revised; eff. 5-1-91........................................7274 Form 4 amended; eff. 5-1-91.....................................7278 249.105 Added; eff. 5-1-91..........................................7274 Form 5 added; eff. 5-1-91.......................................7281 249.220f (a) revised; (b) removed; (c) and (d) redesignated as (b) and (c); Form 20-F amended.................................30075 [[Page 17]] 249.240f Added.....................................................30075 249.250 Added......................................................30076 249.306 Form 6-K amended...........................................30076 249.310 Form 10-K amended; eff. 5-1-91..............................7274 Authority citation removed.....................................30075 Form 10-K amended..............................................30077 Form 10-K amended..............................................45894 251 Interpretive releases..........................................19928 260 Authority citation revised.....................................22319 260.0-11 (b)(1)(i) revised.........................................30077 260.4d-7 Added.....................................................22319 260.4d-8 Added.....................................................22319 260.4d-9 Added.....................................................30077 260.5a-2 Revised...................................................22320 260.5b-1 Added.....................................................22320 260.5b-2 Added.....................................................22320 260.5b-3 Added.....................................................22320 260.7a-15 Revised..................................................22320 260.10a-1 Added....................................................22320 260.10a-2 Added....................................................22320 260.10a-3 Added....................................................22320 260.10a-4 Added....................................................22320 Revised........................................................30077 260.10a-5 Added....................................................30077 260.10b-4 Added....................................................22320 260.10b-5 Added....................................................22321 260.10b-6 Added....................................................22321 269 Authority citation revised.....................................22321 269.1 Form T-1 revised.............................................22321 Form T-1 amended...............................................30078 269.2 Form T-2 revised.............................................22324 269.5 Redesignated as 269.6; new 296.5 added.......................30078 269.6 Redesignated as 269.7; new 269.6 redesignated from 269.5.....30078 269.7 Redesignated as 269.8; new 269.7 redesignated from 269.6.....30078 269.8 Redesignated from 269.7......................................30078 269.9 Added; Form T-6 added........................................22326 Form T-6 amended...............................................30078 270 Authority citation amended...............................8124, 26030 270.2a-7 Revised; eff. 6-1-91.......................................8124 (a)(20)(ii)(A) and (c)(3) corrected; (a)(21)(a) correctly designated as (a)(21)..............................................23106 (c)(3) introductory text and (6)(ii)(C) revised................26030 Technical correction...........................................26030 270.2a41-1 (a) introductory text revised; eff. 6-1-91...............8128 270.3a-5 (a)(5) and (6) amended; (a)(7) added; (b)(2)(ii) and (3)(ii) revised............................................56299 270.3a-6 Added.....................................................56299 270.6c-4(T) Removed................................................56154 270.6c-5(T) Removed................................................56154 270.6c-9 Removed...................................................56300 270.12d1-1 Removed.................................................56300 270.12d2-1 Added...................................................56300 270.12d3-1 (d)(8)(v) revised; eff. 6-1-91...........................8128 270.30f-1 Revised; eff. 5-1-91......................................7275 270.34b-1 Introductory text revised; eff. 6-1-91....................6128 271 Interpretive releases..........................................19928 274.11A Form N-1A amended; eff. 6-1-91........................8129, 8130 274.11b Form N-3 amended; eff. 6-1-91.........................8129, 8130 274.101 Form N-SAR amended; eff. 5-1-91.............................7275 Form N-SAR amended; eff. 6-1-91.................................8129 274.304 Removed....................................................56300 Chapter IV 289 Added..........................................................32079 290 Added..........................................................32082 1992 17 CFR 57 FR Page Chapter I 1 Fee schedule......................................................1372 Authority citation revised.....................................23143 1.10 (j)(3) and (4) revised........................................23143 1.17 (h)(3)(vi) revised............................................20637 1.41 (e) revised...................................................20637 (o) through (t) added..........................................27924 1.41a (a)(5) revised...............................................27925 1.41b Revised......................................................58705 1.43 Revised.......................................................20637 1.46 (d)(8) and (9) added; (e)(1) revised; (e)(2) removed..........55085 1.57 (a)(1) revised................................................23143 1.62 Revised.......................................................23143 3.1 (a)(3), (b) and (c) revised; (d), (e) and (f) added............23144 3.10 Heading, (a), (b) and (d) revised.............................23144 3.11 (b) revised; (d) added........................................23145 3.12 Heading, (a), (b), (c) introductory text, (d)(1) introductory text, (iv), (v), (2), (f) and (h) revised; (d)(4) and (5) removed; (i) and (j) added.................................23145 3.13 Removed.......................................................23148 3.14 Removed.......................................................23148 3.15 Removed.......................................................23148 [[Page 18]] 3.16 Removed.......................................................23148 3.17 Removed.......................................................23148 3.18 Removed.......................................................23148 3.20 Removed.......................................................23148 3.21 (c) and (d) added.............................................23148 3.22 Introductory text, (a) and (c) revised........................23148 3.30 Revised.......................................................23148 3.32 (a), (c), (e), (g) and (h) revised............................23149 3.33 (a) introductory text, (e) and (f) introductory text revised 23150 3.40 (c) revised...................................................23151 3.42 (a) revised...................................................23151 3.44 (a)(3) and (5) revised........................................23151 3.50 (a) and (b)(1) revised........................................23151 3.51 (a) introductory text and (b) revised.........................23151 3.52 Removed.......................................................23151 3.53 Removed.......................................................23151 3.54 Removed.......................................................23151 3.55 (a) introductory text, (3), (b), (e) and (f) revised; (g) through (k) removed........................................23151 3.56 Removed.......................................................23152 3.60 Revised.......................................................23152 3.61 Revised.......................................................23154 3.62 Removed.......................................................23154 3.63 Revised.......................................................23154 3.64 Added.........................................................23154 3.70 (a) and (c) revised...........................................23155 3.75 (c) revised...................................................23155 4.7 Added..........................................................34860 (b)(1)(ii)(B)(2)(xi) and (2)(i) corrected......................41173 4.8 Added..........................................................34865 (b) correctly designated.......................................41173 5 Fee schedule......................................................1372 5.2 (d) introductory text revised..................................20637 5.3 Removed........................................................20637 5 Appendix A revised................................................3523 7.100--7.101 (Subpart B) Removed...................................20637 7.200 Removed......................................................20637 12.2 (w) removed...................................................20637 (d)(4) removed; (d)(1), (h), (i)(1), (p) and (r) revised.......20637 12.5 (a) amended...................................................20638 12.6 (a) amended...................................................20638 12.8 (a) and (b) amended...........................................20638 12.10 (a)(3) and (c) amended.......................................20638 12.22 (b) revised..................................................20638 12.301 Removed.....................................................20637 12.302 Removed.....................................................20637 12.303 Introductory text and concluding text revised...............20638 12.304 (d) removed.................................................20637 12.408 (a)(2) and (3) amended......................................20638 15.03 Revised...............................................20403, 49394 15.04 Removed......................................................20638 16.02 (a)(1), (2) and (b) revised..................................40602 19.00 (b) introductory text revised................................41390 19.01 Introductory text, (a), (b) and (c) redesignated as (a) introductory text, (1), (2) and (3); heading, new (a) introductory text and (3) revised; (a)(4), (5) and (b) added......................................................41390 19.02 Revised......................................................41391 19.10 Removed......................................................41391 20 Removed.........................................................20638 30 Order....................................................36369, 49644 Appendix B amended.............................1375, 2676, 38439, 40604 Amended; eff. 5-1-92...........................................10988 31 Fee schedule.....................................................1372 32 Order...........................................................36369 32.2 Revised.......................................................27926 33.4 (b)(4)(iii) and (8) removed...................................58978 140 Authority citation revised.....................................61291 140.2 (b) revised...................................................3722 (a) revised....................................................29203 140.61 Removed.....................................................20638 140.72 (a) amended.................................................20638 140.73 (a) introductory text and (b) amended.......................20638 140.77 (a), (b) and (c) amended....................................20638 140.81 Removed.....................................................20638 140.96 (b) revised.................................................20638 140.97 Added.......................................................12874 Effective date corrected.......................................20572 140.98 Added.......................................................61291 143 Authority citation revised.....................................61292 143.5 Introductory text revised....................................61292 145.6 (a) revised...................................................3722 (a) revised....................................................29203 145 Appendix A amended.............................................29203 Technical correction...........................................31563 146.13 Added........................................................4364 149.110 Removed....................................................20638 150 Authority citation revised.....................................44492 150.1 (e)(3) revised; (e)(4) redesignated as (e)(5); new (e)(4) added......................................................44492 150.3 (a)(4) and (b) revised.......................................44492 180.2 (d)(1) revised...............................................46093 180.5 Revised......................................................46093 [[Page 19]] Chapter II 200.1--200.30-16 (Subpart A) Authority citation corrected..........10614 200.30-1 (c) revised...............................................36449 200.30-6 (b) revised...............................................36449 200.80e Amended....................................................48970 202 Authority citation revised.....................................18216 202.3 (a) amended..................................................18216 202.3a Effective date extended through 9-1-93......................39359 210 Nomenclature change.....................................36501, 47409 210.3-01--210.3-20 Introductory note amended.......................45292 210.3-02 (a) and (b) amended.......................................45292 210.3-03 (b)(2) amended............................................45292 210.3-09 (c) amended...............................................45292 210.3-12 (a) amended...............................................45292 210.3-18 (a)(3) redesignated as (a)(4); (b) revised; new (a)(3) added; (c) amended.........................................45292 210.3-19 (a)(2) and (d) amended....................................45293 210.3-21 Removed...................................................45293 210.4-08 (h)(3) added; (j) removed; (k)(1) amended.................45293 210.4-10 (i)(4)(i) revised; (j) amended; (k) removed...............45293 210.7-04 Amended...................................................45293 210.10-01 (a)(4) revised; (c)(3) and (4) amended...................45293 210.12-04 (a) amended..............................................45293 210.12-16 Amended..................................................45293 228 Added..........................................................36449 Authority citation revised.....................................48145 Technical correction...........................................54280 228.402 Revised....................................................48145 228.403 (b) introductory text revised..............................48150 228.601 (b)(10)(ii)(A) revised.....................................48150 229 Authority citation corrected...................................10614 Nomenclature change.....................................36501, 47409 Technical correction...........................................54280 229.402 Revised....................................................48150 (l) corrected..................................................53985 229.403 (b) introductory text revised..............................48158 229.601 (b)(10)(iii)(A) revised....................................48158 229.801 (g) added..................................................36466 229.802 (g) added..................................................36468 230 Authority citation revised.......................18043, 18216, 56834 Technical correction...........................................29119 Nomenclature change.....................................36501, 47409 230.134b Added.....................................................56834 230.144A (a)(1)(i)(F) through (H) redesignated as (a)(1)(i)(G) through (I); (a)(1)(i)(A) note and new (a)(1)(i)(F) added; (a)(1)(i)(B) and (2) amended...............................48722 230.174 (g) added..................................................18043 230.175 (b)(1)(i) and (2)(i) amended...............................36468 230.251--230.263 Undesignated center heading and text revised......36468 230.405 Amended....................................................36472 230.419 Added......................................................18043 230.424 (b)(6) amended.............................................48975 230.428 (b)(2) and Instruction 2 correctly revised.................10614 230.430 Existing text designated as (a); (b) added.................56834 230.430A (a)(3) amended............................................48976 (e) added......................................................56834 230.457 (o) added..................................................48976 230.460 (b) redesignated as (b)(1); (2) added......................56834 230.462 Revised....................................................48976 230.463 (d)(6) revised.............................................56834 230.481 (b)(2) amended.............................................36473 (g) added......................................................56834 230.495 (a), (c) and (d) revised...................................56834 230.496 Revised....................................................56835 230.497 (c) and (e) revised........................................56835 230.499 Revised....................................................18216 230.502 (b)(1), (b) note, (c) introductory text, (d) introductory text and concluding text amended....................36473, 47409 230.504 Redesignated as 230.504a; new 230.504 added................36473 230.504a Redesignated from 230.504; heading revised................36473 Removed........................................................47409 230.505 (b)(2)(iii) introductory text, (A) and (B) revised.........36473 230.508 (a)(2) revised.............................................36473 239 Authority citation corrected...................................10614 239 Nomenclature change............................................36501 239.10 Added.......................................................36473 239.12 Form S-2 amended............................................36475 239.13 Form S-3 amended............................................36475 [[Page 20]] (a) introductory text, (3)(i), (b) introductory text, (1), (2), and (c)(2) revised; (a)(4), (5) and (6) redesignated as (a)(5), (6) and (7); new (a)(4) and (b)(5) added; new (a)(7) introductory text and (c)(3) amended; Form S-3 amended.............48976 239.14 Form N-2 revised............................................56836 239.15A Form N-1A amended...........................................9829 239.16b Form S-8 amended...........................................36475 239.23 Form N-14 amended...........................................56835 239.25 Form S-4 amended.....................................36475, 48977 239.28 Removed.....................................................36473 239.32 Form F-2 corrected..........................................10615 239.36 Form F-6 amended............................................37084 239.37 Form F-7 corrected..........................................10615 239.38 Form F-8 corrected..........................................10615 239.39 Form F-9 corrected..........................................10615 239.40 Form F-10 corrected.........................................10615 239.41 Form F-80 corrected.........................................10615 239.42 Form F-X corrected..........................................10615 Heading and (a) revised; (d), (e) and Form F-X amended; (f) added..............................................................36475 239.62 Revised.....................................................18218 239.63 Revised.....................................................18218 239.64 Revised.....................................................18218 239.90 Revised; Form 1-A revised...................................36476 239.91 Revised.....................................................36476 Form 2-A revised...............................................36493 239.92 Removed.....................................................36473 239.93 Removed.....................................................36473 239.94 Removed.....................................................36473 239.95 Removed.....................................................36473 239.96 Removed.....................................................36473 240 Authority citation corrected...................................10615 Authority citation revised.....................................18218 Phase-in period extended.......................................28781 Technical corrections...................................29119, 54280 Authority citation amended.....................................32168 Nomenclature change.....................................36501, 47409 240.3a12-8 (a)(1)(iv) through (xii) revised; (a)(1)(xiii) and (xiv)added..................................................1378 240.3a51-1 Added...................................................18032 240.3b-6 (b)(1)(i) and (2)(i) amended..............................36494 240.12b-2 Amended..................................................36494 240.12b-23 (a)(3) revised..........................................48977 240.12b-37 Revised.................................................18218 240.13a-13 (a) corrected...........................................10615 240.13a-16 (a) correctly revised...................................10615 240.13e-100 Amended.........................................45294, 48290 240.13e-101 Amended................................................45294 240.13f-2(T) Revised...............................................18227 240.14a-1 (l)(2) revised...........................................48290 240.14a-2 (b) introductory text revised; (b)(1) and (2) redesignated as (b)(2) and (3); new (b)(1) added...........48290 240.14a-3 (b)(5)(ii) amended; (b) note added.......................36495 (b)(1) amended.................................................45294 (a) revised; (f) added.........................................48291 240.14a-4 (a)(3), (b)(1) and (d)(4) amended; (f) added.............48291 240.14a-6 (b) and (h) removed; (c) through (g) and (i) through (m) redesignated as (b) through (f) and (h) through (l); (a) introductory text and new (b) amended; new (g) and (i)(5) added; new (c) through (e) revised.........................48291 240.14a-7 Revised..................................................48292 240.14a-11 (b) and (c) removed; (d) through (h) redesignated as (b) through (f); new (b)(1) removed; new (b)(2) through (4) redesignated as (b)(1) through (3); new (b)(1) and (d) amended; new (b)(2), (3), (c) and (e) revised..............48293 240.14a-12 (a)(3), (4) and (b) revised.............................48293 240.14a-13 (a) Note 2 revised; (a)(1)(i)(C), (ii)(A), (2), (b) introductory text, (1) and (c) amended......................1099 240.14a-101 Amended..................................36495, 48158, 48294 240.14a-102 Removed................................................48294 240.14a-103 Added..................................................48294 240.14b-1 Revised...................................................1099 240.14b-2 Revised...................................................1100 240.14c-1 (j) revised...............................................1101 240.14c-2 (a) introductory text revised.............................1102 (a) introductory text revised..................................48295 240.14c-5 (d) revised..............................................48295 240.14c-7 (a)(1)(i)(C), (3) and (4) redesignated as (a)(1)(i)(D), (4) and (5); new (a)(3) added; (a) Note 3 revised; (a)(1)(ii)(A), (B), (2), (b) introductory text, (1) and (c) introductory text amended...............................1102 240.14c-101 Note amended...........................................36495 240.14d-102 Corrected..............................................10615 240.15c3-1a (c)(1) through (5), (7), (9) and (10) revised..........56988 [[Page 21]] 240.15c3-1c (b)(1) revised.........................................56988 240.15c3-1d (a)(2)(iii), (b)(6)(iii), (7), (8), (10)(ii)(B), (c)(2), (5)(i) and (ii)(A) revised.........................56988 240.15c3-1e Added..................................................56990 240.15g-1 Added....................................................18032 240.15g-2 Added....................................................18033 240.15g-3 Added....................................................18033 240.15g-4 Added....................................................18034 240.15g-5 Added....................................................18034 240.15g-6 Added....................................................18034 240.15g-8 Added....................................................18045 240.15g-100 Added..................................................18035 Amended........................................................31446 240.17a-5 (g)(1) amended; nomenclature change......................45294 240.17h-1T Added...................................................32168 240.17h-2T Added...................................................32170 240.17Ad-15 Added...................................................1095 249 Authority citation corrected...................................10615 Nomenclature change.....................................36501, 47409 Technical correction...........................................54280 249.208a Form 8-A amended..........................................48978 249.210b Added.....................................................36495 249.220f Form 20-F amended.........................................45294 249.308 Form 8-K amended...........................................36501 249.308a Form 10-Q amended.........................................48295 249.308b Added.....................................................36498 Form 10-QSB amended............................................48295 249.310 Form 10-K corrected........................................10615 Form 10-K amended................................45294, 48159, 48295 249.310b Added.....................................................36496 Form 10-KSB amended............................................48295 249.328T Added.....................................................32171 249.444 Revised....................................................18219 249.445 Revised....................................................18219 249.446 Revised....................................................18219 249.501 Form BD revised.....................................34032, 53262 249.617 Form X-17A-5 amended.......................................53278 250 Authority citation revised.....................................31122 250.52 Revised.....................................................31122 250.111 Revised....................................................18232 259 Authority citation revised.....................................45294 259.5s Form U5S amended............................................45294 259.601 revised....................................................18219 259.602 Revised....................................................18219 259.603 Revised....................................................18219 260 Authority citation revised.....................................18220 Nomenclature change.....................................36501, 47409 260.0-12 Revised...................................................18220 260.4a-1 Revised...................................................36501 260.4a-2 Redesignated as 260.4a-3; new 240.4a-2 added..............36501 260.4a-3 Redesignated from 260.4a-2 and amended....................36501 260.4d-9 (a) introductory text amended.............................36501 260.10a-5 (a) amended..............................................36501 269 Authority citation revised.....................................18220 269.6 Revised......................................................18220 269.7 Revised......................................................18220 269.8 Revised......................................................18220 270.0-11 Revised...................................................18228 270.3a-7 Added.....................................................56256 270.8b-11 (b) revised..............................................56835 270.8b-12 (b) revised..............................................56836 270.8b-16 Existing text designated as (a); (b), (c) and (d) added 56836 270.20a-1 (c) amended...............................................1102 270.30d-1 (a) revised..............................................56836 274 Authority citation revised.....................................56836 274.11a-1 Form N-2 revised.........................................56836 274.11A Form N-1A amended...........................................9829 274.11c Form N-4 amended...........................................45294 274.401 Revised....................................................18221 274.402 Revised....................................................18221 274.403 Revised....................................................18221 1993 17 CFR 58 FR Page Chapter I 1 Authority citation revised................................10952, 19589 Technical correction......................22020, 42361, 58651, 58729 1.3 (x) revised....................................................19589 1.10 (j)(2)(ii) revised............................................19589 (a)(2)(ii) introductory text, (3)(ii)(B), (b)(1), (2), (h) and (j)(8) revised.....................................................10952 (b)(2)(ii)(B) corrected........................................12988 1.12 (g) revised...................................................10953 1.17 (c)(5)(vi) revised............................................68519 1.19 (a) and (b) revised; (c) added................................68520 1.28 Revised.......................................................10953 1.31 (b) and (c) revised; (d) added................................27464 (b)(2) revised.................................................27467 1.35 (b) amended...................................................27465 (a-1), (2), (3) and (4) revised................................31166 (e)(1) revised.................................................40348 1.37 (a) revised...................................................28501 1.41 (a)(4), (f)(2), (3) and (g) revised; (a)(8) and (f)(4) through (9) added..........................................26237 (d) heading and (1) introductory text revised..................37653 1.41c Added........................................................26239 [[Page 22]] 1.55 (a) and (b) revised; (c) and (d) redesignated as (e) and (f); new (c) and new (d) added..................................17503 1.59 Revised.......................................................54973 1.62 Revised.......................................................19589 1.63 (a)(4) and (6) redesignated as (a)(6) and (7); new (a)(4) added; (a)(2), (5), new (6), (b) introductory text and (c) through (f) revised........................................37653 1.64 Added.........................................................37654 1.65 Added.........................................................17504 1.66 Added.........................................................19589 (b)(1)(ii) correctly designated................................21776 1.67 Added.........................................................37655 1 Appendix B amended...............................................42645 3 Authority citation revised.......................................19590 3.1 Authority citation removed.....................................19590 3.2 Authority citation removed.....................................19590 3.4 (a) revised; authority citation removed........................19590 3.10 Authority citation removed....................................19590 3.11 Revised.......................................................19591 3.12 Authority citation removed....................................19590 (d)(1)(iv) and (i)(1)(iv) revised..............................19592 3.13 Authority citation removed....................................19590 3.14 Authority citation removed....................................19590 3.15 Authority citation removed....................................19590 3.16 Authority citation removed....................................19590 3.17 Authority citation removed....................................19590 3.18 Authority citation removed....................................19590 3.20 Authority citation removed....................................19590 3.21 Authority citation removed....................................19590 (b)(2) revised.................................................19592 3.22 Authority citation removed....................................19590 3.30 Authority citation removed....................................19590 3.31 Authority citation removed....................................19590 (a) amended; (b) and (d) revised...............................19593 3.32 Authority citation removed....................................19590 3.33 Authority citation removed....................................19590 (a) introductory text, (e) and (f) introductory text revised; (b) introductory text amended......................................19592 3.34 Added.........................................................19593 (d)(2) corrected...............................................21776 3.40--3.47 (Subpart B) Authority citation removed..................19590 3.40 Heading, introductory text and (c) revised....................19594 3.41 (a) revised...................................................19594 (a) corrected..................................................21776 3.42 (a)(2), (4), (5), (6) and (b) revised; (a)(7) and (8) added 19594 3.43 (b)(1) and (2) revised........................................19595 3.46 (a) revised...................................................19595 3.47 (b)(2) revised................................................19595 3.50--3.64 (Subpart C) Authority citation removed..................19590 3.55 (e)(1) revised................................................19595 3.56 Added.........................................................19595 3.60 (b)(2)(i) introductory text, (A), (C), (ii)(C) and (f)(3) revised; (l) added.........................................19596 3.61 Heading and (a) revised.......................................19597 3.64 (a)(2) and (d) revised........................................19597 3.70 (Subpart D) Authority citation removed........................19590 3.75 (Subpart E) Authority citation removed........................19590 3 Appendix A authority cite removed................................19590 Appendix A amended.............................................19597 4 Advisory..........................................................8226 4.5 (a)(4) introductory text, (b)(4) and (c)(2)(i) revised; (c)(2)(ii) removed; (c)(2)(iii), (iv) and (v) redesignated as (c)(2)(ii), (iii) and (iv)...............................6374 (a)(4), (b)(4) and (c) introductory text revised; (a)(4)(iv) added..............................................................43793 5 Fee schedule.....................................................19769 10.1 (a) revised...................................................19597 17.00 (b) revised..................................................33330 17.01 (b)(6) revised...............................................33330 18.01 (a) revised..................................................33330 18.04 (a)(5) revised...............................................33330 30 Technical correction............................................22020 30.6 (a) revised...................................................17505 30 Appendixes B and C amended......................................10957 30 Appendix C amended..............................................19210 33 Technical correction............................................22020 33.4 (b)(9) removed................................................30703 33.7 (a) revised...................................................17505 [[Page 23]] 34 Revised..........................................................5586 35 Added............................................................5594 140 Technical correction............................................6677 140.735-1--140.735-16 (Subpart C) Authority citation revised.......52657 140.735-1 Revised..................................................52657 140.735-2 Removed; new 140.735-2 redesignated from 140.735-4 and revised....................................................52657 140.735-3 Removed..................................................52657 Redesignated from 140.735-5 and revised........................52658 140.735-4 Redesignated as 140.735-2................................52657 Redesignated from 140.735-8A...................................52658 140.735-5 Redesignated as 140.735-3; new 140.735-5 redesignated from 140.735-9 and revised.................................52658 140.735-6 Removed; new 140.735-6 redesignated from 140.735-10 and revised....................................................52658 Footnote 15 corrected..........................................58593 140.735-7 Removed..................................................52658 Redesignated from 140.735-12 and revised.......................52660 140.735-8 Removed..................................................52658 Redesignated from 140.735-16 and revised.......................52660 140.735-8A Redesignated as 140.735-4...............................52658 140.735-9 Redesignated as 140.735-5................................52658 140.735-10 Redesignated as 140.735-6...............................52658 140.735-11 Removed.................................................52659 140.735-12 Redesignated as 140.735-7...............................52659 140.735-13 Removed.................................................52660 140.735-14 Removed.................................................52660 140.735-15 Removed.................................................52660 140.735-16 Redesignated as 140.735-8...............................52660 145.6 Regulation at 57 FR 29203 correctly designated................7040 (b) revised....................................................19597 150 Authority citation revised.....................................17981 150.1 (f) through (i) added; interim...............................17981 150.2 Revised; interim.............................................17982 150.3 (a)(2) removed; (a)(3) revised; interim......................17982 (a)(4) and (b) correctly designated.............................6854 155.5 Added........................................................40348 156 Added..........................................................31171 180 Technical correction...........................................22020 180.3 (b)(2) revised...............................................17505 190 Technical correction...........................................22020 190.06 (b) and (d)(1) revised......................................17505 190.10 (c)(1) revised..............................................17505 Chapter II 200.1--200.30-16 (Subpart A) Authority citation revised............14659 Authority citation corrected...................................26383 200.15 Added.......................................................52418 200.30-1 (a)(9), (e)(4) and (f)(11) removed; (e)(5) through (8) and (f)(12), (13) and (14) redesignated as (e)(4) through (7) and (f)(11), (12) and (13); (k), (l) and (m) added; interim....................................................14659 (k) corrected..................................................21349 (f)(14) and (15) added.........................................52418 200.30-3 (a)(51) added.............................................11792 (a)(52) added..................................................25774 (a)(53) and (54) added.........................................52419 (a)(55) added; eff. 6-1-95.....................................52902 (a)(6) revised.................................................68520 200.30-4 (a)(7) revised; (a)(9) added..............................52419 200.30-5 (a)(7) and (f)(10) removed; (a)(8) and (9) redesignated as new (a)(7) and (8); (j), (k) and (l) added; interim.....14857 (m) and (n) added; interim.....................................15004 (j) corrected..................................................17327 (c-1)(1) amended; (c-1)(3) and (4) added.......................52419 200.30-6 (d)(1) removed; (d)(2) and (3) redesignated as (d)(1) and (2)........................................................45839 (d)(1)(i) corrected; (d)(1)(ii), (2), (3) and (e) reinstated; CFR correction.....................................................60380 200.30-14 (f) revised...............................................8541 (j) added......................................................52419 200.30-17 Added....................................................52419 200.80e Amended....................................................64120 200.83 (i) added; interim..........................................14659 201 Authority citation revised.....................................14659 Authority citation corrected...................................26383 201.5 Amended; interim.............................................14659 201.25 (a) amended; interim........................................14659 202 Authority citation revised.....................................14659 Technical correction...........................................17327 202.3 (a) amended; interim.........................................15004 202.3a Revised.....................................................15010 202.7 Existing text designated as (a) and amended; (b) added; interim....................................................14659 203 Authority citation revised.....................................52419 203.2 Revised......................................................52419 [[Page 24]] 204 Added..........................................................38520 204.1--204.11 (Subpart A) Added....................................64370 204.50--204.56 (Subpart C) Added...................................64372 204.75--204.77 (Subpart D) Added...................................64373 210 Authority citation revised.....................................14660 Undesignated center heading added; interim.....................14660 210.3-19 (b), (c) and (f) revised..................................60305 211 Staff Accounting Bulletin No. 92 added.........................32843 Regulation at 58 FR 32843 corrected............................34842 Staff Accounting Bulletin No. 93 added.........................59361 228 Authority citation revised.....................................14660 Undesignated center heading added; interim.....................14660 228.310 (c)(3)(i), (ii) and (g)(2)(i) revised; (c)(3)(iv) removed; (c)(5) amended.............................................26514 228.402 (a)(2), (b)(1) table, (2)(iv)(B), Instruction 2, (c)(1) table, (2)(ii), (d)(1) table, (2)(iv) and (e)(2)(iv) revised....................................................63012 228.502 (d) heading, (1), (2), (3) introductory text and (d)(3)(i) through (v) redesignated as (d)(1), (i), (ii), (iii) introductory text and (A) through (E); new (d)(2) added....19605 228.508 (i) added..................................................19605 228.601 (a)(1) and (b)(3) revised; (b)(19) removed; (b)(13) existing text designated as (b)(13)(i), (b)(20) through (27) redesignated as (b)(19) through (26), (b)(28) redesignated as (b)(99), (b)(29) redesignated as (b)(28), new (b)(25) existing text designated as (b)(25)(i) and new (b)(99) existing text designated as (b)(99)(i); (a)(3), (b)(13)(ii), (b)(25)(ii), new (b)(27), (c) and Appendixes A through F added; instructions, table and new (b)(24) amended; interim; eff. 11-1-93.............................14660 (a) and table corrected........................................21349 (a) table, (b)(27) heading, (c) heading, (2) heading and (3) heading corrected..................................................26383 Table correctly revised........................................27469 229 Authority citation revised.....................................14664 Undesignated center heading added; interim.....................14664 Technical correction...........................................17327 229.10 (b)(3)(iii) amended; interim................................14665 (c)(1)(i) amended..............................................62029 229.402 (a)(3), (b)(1) table, (2)(iv)(B), Instruction 2, (c)(1) table, (2)(ii), Instruction 9, (d)(1) table , (2)(iv), (e)(2)(iv), (f)(1)(ii)(A), (i)(3)(i) table, (ii)(C) and (l) Instructions 2 and 5 revised...........................63013 229.501 (c)(4) amended; interim....................................14665 229.502 (d) heading, (1), (2), (3) introductory text and (i) through (v) redesignated as (d)(1) heading, (i), (ii), (iii) introductory text and (A) through (E); new (d)(2) added......................................................19605 229.508 (k) added..................................................19606 229.512 (a)(4) revised.............................................60306 229.601 (a)(1) and (b)(3) revised; (b)(19) and (29) removed; (b)(13) existing text designated as (b)(13)(i), (b)(20) through (27) redesignated as (b)(19) through (26), (b)(28) redesignated as (b)(99), (b)(29) redesignated as (b)(28) and new (b)(25) existing text designated as (b)(25)(i); (a)(4) Instruction 4, (b)(13)(ii), new (b)(27), (b)(25)(ii), (b)(99)(iii), (c) and Appendixes A through F added; table and new (b)(24) amended; interim; eff. 11-1- 93.........................................................14665 (a)(1) amended; interim........................................14857 (c)(1)(i) corrected............................................21349 (a) table correctly revised....................................27471 230 Undesignated center heading added; interim.....................14669 Technical correction...........................................17327 230.100 (a)(6) and (7) added; interim..............................14669 230.110 Revised; interim...........................................14669 230.134 (a)(14)(i) revised.........................................62029 230.144 (d)(2)(i), (ii) and (iii) added............................67312 230.158 (d) added; interim.........................................14669 230.252 (e) revised................................................65542 230.254 (e) added..................................................26514 230.400--230.494 (Regulation C) Undesignated center heading added; interim....................................................14669 [[Page 25]] 230.405 Authority citation removed; interim........................14669 Amended; interim...............................................14670 230.406 Authority citation removed; interim........................14669 (j) added; interim.............................................14670 230.418 Authority citation removed; interim........................14669 (b)(2) and (3) amended; (b)(4) added; interim..................14670 230.436 (g)(1) revised.............................................62030 230.455 Revised....................................................65542 230.461 (b)(7) amended.............................................18146 230.483 Heading revised; (e) added; interim; eff. 11-1-93..........14857 230.485 (f) added; interim.........................................14858 230.486 (g) added; interim.........................................14858 230.487 (d) added; interim.........................................14858 230.488 (c) added; interim.........................................14858 230.495 (e) added; interim.........................................14859 230.497 (j) added; interim.........................................14859 230.499 Removed; interim...........................................14670 230.502 (b)(2)(i) and (ii)(B) revised..............................26514 232 Added; interim.................................................14670 232.11 (f) corrected...............................................26383 232.12 (a) corrected...............................................21349 232.101 (a)(1)(i) corrected........................................26383 232.306 (a) note corrected.........................................21349 232.310 Corrected..................................................21509 232.501 (b)(2) corrected...........................................21349 239 Authority citation revised.....................................14678 Technical correction...........................................17327 239.9 Added........................................................26515 Form SB-1 amended..............................................65542 239.10 Form SB-2 amended; interim..................................14678 Form SB-2 amended..............................................65542 239.11 Form S-1 amended; interim...................................14678 239.12 (h) added; authority citation removed; interim..............14678 Form S-2 amended; interim......................................14679 Form S-2 amended...............................................26518 239.13 (a)(7) added; Form S-3 amended; interim; effective in part 11-1-93....................................................14679 Regulation at 58 FR 14679 correctly designated; Form S-3 corrected..........................................................16771 239.14 Form N-2 amended; interim; eff. 11-1-93.....................14861 Form N-2 amended...............................................19346 239.15 Form N-1 amended; interim; eff. 11-1-93.....................14861 239.15A Form N-1A amended; interim; eff. 11-1-93...................14861 Form N-1A amended; eff. 7-1-93...........................19056-19058 Form N-1A amended..............................................49922 239.16 Form S-6 amended; interim; eff. 11-1-93.....................14859 239.16b Introductory text, (a) and (b) redesignated as (a) introductory text, (1) and (2); new (b) added; Form S-8 amended; interim; effective in part 4-26-93 and 11-1-93....14680 239.17a Form N-3 amended; interim; eff. 11-1-93....................14861 Form N-3 amended...............................................49922 239.17b Form N-4 amended; interim; eff. 11-1-93....................14862 239.18 Authority citation removed; interim.........................14678 Form S-11 amended; interim.....................................14680 239.20 Form S-20 amended; interim..................................14680 239.23 Form N-14 amended; interim..................................14859 Form N-14 amended; eff. 7-1-93.................................19055 239.24 Form N-5 amended; interim; eff. 11-1-93.....................14862 239.25 Form S-4 amended; interim...................................14680 Form S-4 amended...............................................26518 239.31 Form F-1 amended; interim...................................14681 239.32 (h) added; Form F-2 amended; interim........................14681 Form F-2 amended...............................................60306 239.33 (a)(7) added; Form F-3 amended; interim.....................14681 Form F-3 amended...............................................60306 239.34 Form F-4 amended; interim...................................14682 239.36 Authority citation removed; interim.........................14678 239.37 Form F-7 amended............................................62030 239.39 (b)(4) removed; (b)(5) redesignated as (b)(4); (b)(3), new (b)(4) and (e) revised; (f) introductory text, (l) and Form F-9 amended...........................................62030 239.40 Form F-10 amended....................................35368, 62031 (c)(3), (h), (i) introductory text and (1) amended; (c)(4) removed; (c)(5) redesignated as (c)(4) and revised.................62030 239.62 Regulation at 57 FR 18218 confirmed; interim................14659 Form ET revised; interim.......................................14688 [[Page 26]] 239.63 Regulation at 57 FR 18218 confirmed; interim................14659 Form ID revised; interim.......................................14687 239.64 Revised; interim............................................14682 Form SE revised; interim.......................................14688 239.65 Added; interim..............................................14682 Form TH added; interim.........................................14689 239.90 Form 1-A amended............................................26519 240 Authority citation revised.....................................14682 Undesignated center heading added; interim.....................14682 Technical correction...........................................17327 Phase-in period extended.......................................36866 Policy statement...............................................60324 240.0-1 (a)(5) and (6) added; interim..............................14682 240.0-2 Revised; interim...........................................14682 240.0-3 Authority citation removed; interim........................14682 240.0-11 (a)(5) revised; interim...................................14682 240.3a51-1 (d) introductory text revised...........................58101 240.10a-1 (e)(9) removed...........................................18146 240.10b-2 Removed..................................................18146 240.10b-6 (a)(4)(x) removed........................................18146 (h) redesignated as (i); new (h) added.........................19343 (a)(4)(xiii) amended; (a)(4)(xiv) added........................19606 (i) redesignated as (j); new (i) added.........................60329 240.10b-6A Added...................................................19606 240.10b-7 (o) redesignated as (p); new (o) added...................60329 240.10b-8 (f) redesignated as (g); new (f) added...................60329 240.12b-1--240.12b-36 Undesignated center heading added; interim 14682 240.12b-15 Revised; authority citation removed; interim............14682 240.12b-25 Section heading, (a) and (b)(2)(ii) revised; (g) added; interim....................................................14683 (g) corrected..................................................21349 240.12b-37 Removed; interim........................................14683 240.13d-1--240.13f-1 Undesignated center heading added; interim....14683 240.13d-2 (c) added; interim.......................................14683 240.13e-4 (f)(12) added; interim...................................14683 (h)(6) amended; (h)(7) redesignated as (h)(8); new (h)(7) added..............................................................19343 240.13f-2 Redesignated from 240.13f-2(T) and revised; interim......14859 240.13f-2(T) Redesignated as 240.13f-2; interim....................14859 240.14a-1--240.14a-101 Undesignated center heading added; interim 14683 240.14a-3 (c) note removed; interim................................14683 (b) introductory text note revised.............................26519 240.14a-6 Authority citation removed; interim......................14682 (j) amended; (m) added; interim................................14683 (a) and undesignated text revised..............................69226 240.14a-101 Schedule 14A amended...................................63015 240.14a-11 (c) amended; (d) existing text designated as (d)(1); (d)(2) added; interim......................................14683 240.14a-12 (b) amended; interim....................................14683 Authority citation removed; interim............................14682 240.14a-101 Amended; interim................................14684, 26519 Corrected......................................................26383 240.14c-1--240.14c-101 Undesignated center heading added; interim 14684 240.14c-3 (a)(2) note added........................................26519 240.14c-5 (h) added; interim.......................................14684 (a) and undesignated text revised..............................69226 240.14c-101 Amended; interim.......................................14684 240.14d-1--240.14d-103 Undesignated center heading added; interim 14684 240.14e-1 Authority citation removed; interim......................14682 (e) added; interim.............................................14685 240.14e-6 Added....................................................19343 240.15b1-1 Heading revised, existing text designated as (a), (b) and (c) added.................................................14 240.15b1-2 Removed....................................................14 240.15b1-3 Revised....................................................10 Correctly designated...........................................21334 240.15b3-1 Revised....................................................14 240.15b6-1 (b), (c) and (d) redesignated as (c), (d) and (e); new (b) added; new (e) revised....................................14 240.15b7-1 Added...................................................27658 [[Page 27]] 240.15c2-6 Redesignated as 240.15g-9...............................37417 240.15c3-1 (a)(3), (5), (c)(2)(vi)(I) and (f) removed; (c)(1)(xii) amended; (c)(1)(xiv) and (xv) added; (a) introductory text, (1), (2), (4), (6)(i), (7)(i), (9), (c)(1)(xiii), (2)(i)(C)(1), (iv)(B), (F)(3)(i)(B), (C), (vi) introductory text, (A)(5), (J), (M), (viii), (ix), (x)(A)(2) through (5), (9) and (10) revised................56984 (b)(1) and (c)(2)(x)(A) introductory text revised; (c)(2)(vi)(N) added................................................43559 240.15c3-1d (c)(5)(i) introductory text amended....................37657 240.15c6-1 Added; eff. 6 1 95......................................52903 240.15d-2 (a) amended..............................................60306 240.15g-2 Revised..................................................37417 240.15g-9 Redesignated from 240.15c2-6; (a) introductory text, (2)(i), (ii), (b) introductory text, (2), and (3)(ii) amended; (c) and (d) revised...............................37417 240.15g-100 Amended................................................37417 240.15Ba2-2 Revised...................................................14 240.15Ba2-4 Revised...................................................10 240.15Ba2-6 Removed...................................................11 240.15Bc3-1 (b) and (c) redesignated as (c) and (d); new (b) added; new (d) revised........................................14 240.15Ca1-1 (c) added.................................................14 240.15Ca2-1 Revised...................................................15 240.15Ca2-2 Removed...................................................15 240.15Ca2-3 Revised...................................................11 (b) amended.......................................................15 240.15Cc1-1 (b) and (c) redesignated as (c) and (d); heading and new (d) revised; (b) added....................................15 240.17a-5 (c)(2)(iii) revised; (h)(2) amended......................37657 (a)(5) added; (d)(1)(i) and (l)(1) revised.....................45839 (m) revised....................................................45840 240.17a-11 Revised.................................................37657 240.17h-1T (a)(1) amended..........................................25774 240.24b-2 Authority citation removed; interim......................14682 (g) added; interim.............................................14685 Correctly designated...........................................26383 240.24c-1 Added....................................................52419 241 Interpretive releases.............................................11 249 Technical correction...........................................17327 249.208a Form 8-A amended; interim.................................14685 Form 8-A corrected.............................................16771 Authority citation removed; interim............................14685 249.210b Form 10-SB amended.................................26519, 26520 249.218 Form 18 amended; interim...................................14685 249.240f Form 40-F amended.........................................35368 (b)(4) and (5) reinstated; CFR correction......................58651 (b)(4) removed; (b)(5) redesignated as (b)(4); (b)(3) and new (4) revised; (c) introductory text, (1) and Form 40-F amended......62031 249.308a Authority citation removed; Form 10-Q amended; interim....14685 249.308b Form 10-QSB amended; interim..............................14685 Form 10-QSB amended............................................26520 249.310 Form 10-K amended; interim.................................14685 249.310b Form 10-KSB amended; interim..............................14686 Form 10-KSB amended............................................26521 249.311 Authority citation removed; interim........................14685 Form 11-K amended; interim.....................................14686 249.322 Authority citation removed; interim........................14685 Existing text designated as (a); (b) added; Form 12b-25 amended; interim...................................................14686 249.326 Redesignated from 249.326T; Form 13F-E amended; interim....14859 249.326(T) Redesignated; interim...................................14859 249.444 Revised; interim...........................................14686 Form SE revised; interim.......................................14687 249.445 Regulation at 57 FR 18219 confirmed........................14659 Form ET revised; interim.......................................14687 249.446 Regulation at 57 FR 18219 confirmed; Form ID revised; interim....................................................14659 249.447 Revised; interim...........................................14686 Form TH added; interim.........................................14687 249.460 (Subpart E) Removed; Form 8 removed; interim...............14686 249.501 Amended.......................................................15 249.501a Form BDW amended.............................................15 [[Page 28]] 250 Undesignated center heading added; interim.....................15005 Technical correction...........................................17327 250.16 (c) note added; interim.....................................15005 250.20 (b) revised; (c) amended; (f) added; interim................15005 250.21 Existing text designated as (a); new (a) heading and (b) added; interim.............................................15005 250.22 (b) existing text redesignated as (b)(1); (b)(2) added; interim....................................................15005 250.29 Introductory note added; interim............................15005 250.53 Added.......................................................51504 250.54 Added.......................................................51505 250.57 Added.......................................................51505 250.104 Introductory note added; interim...........................15005 259 Technical correction...........................................17327 259.5b Form U5B amended; interim...................................15005 259.5s Form U5S amended; interim; eff. 11-1-93.....................15006 Form U5S amended; final........................................51505 259.101 Form U-1 amended; interim; eff. 11-1-93....................15006 259.113 Form U-13-1 amended; interim...............................15007 259.207 Added; Form U-57 added.....................................51506 259.212b Form U-12(I)-B amended; interim...........................15007 259.213 Form U-13E-1 amended; interim..............................15007 259.221 Form U-R-1 amended; interim................................15007 259.313 Form U-13-60 amended; interim; eff. 11-1-93................15007 259.402 Form U-3A-2 amended; interim; eff. 11-1-93.................15007 Form U-3A-2 amended; final.....................................51506 259.403 Form U-3A3-1 amended; interim..............................15007 259.405 Added; Form U-33-S added...................................51507 259.501 Form U-A removed; interim..................................15007 259.601 Regulation at 57 FR 18219 confirmed........................14659 259.602 Regulation at 57 FR 18219 confirmed........................14659 259.603 Revised; interim...........................................15007 259.604 Added; interim.............................................15007 260 Undesignated center heading added; interim.....................14686 260.0-2 (g) through (k) redesignated as (i) through (m); new (g) and new (h) added; interim.................................14686 260.0-5 Revised; interim...........................................14687 260.4d-9 (a) introductory text, (2) and (3) amended; (b) removed; (a) introductory text, (1), (2) and (3) redesignated as introductory text, (a), (b) and (c); (d) added.............33190 260.7a-10 Added....................................................15011 260.10a-5 (a) amended; (b) and (c) removed; (d) redesignated as (b)........................................................33191 269 Authority citation revised.....................................14687 269.6 Regulation at 57 FR 18220 confirmed..........................14659 Form ET revised; interim.......................................14687 269.7 Regulation at 57 FR 18220 confirmed..........................14659 Form ID revised; interim.......................................14687 269.8 Revised; Form SE revised; interim............................14687 269.10 Added; Form TH added; interim...............................14687 270 Undesignated center heading added; interim.....................14859 Technical correction...........................................17327 Authority citation amended..............................19343, 49427 270.0-1 (b) amended; interim.......................................14859 270.0-2 (b) amended; interim.......................................14859 270.0-4 (d) revised; interim.......................................14860 270.0-9 Removed.....................................................7984 270.0-11 Removed; interim..........................................14860 270.2a3-1 Added....................................................45838 270.2a19-2 Added...................................................45838 (a)(3) corrected...............................................64353 270.8b-2 Introductory text revised; interim........................14860 270.8b-15 Amended; interim.........................................14860 270.8b-23 (a) revised; interim.....................................14860 270.8b-25 Existing text designated as (a) and amended; (b) added; interim....................................................14860 270.8b-32 (a) amended; (c) added; interim..........................14860 270.10f-3 (h) revised..............................................49921 270.12d3-1 Revised.................................................49427 270.17a-7 (e)(2) revised...........................................49921 270.17e-1 (b) revised..............................................49921 270.17f-4 (b), (c)(3) and (d)(5) revised...........................49922 270.20a-4 Added; interim...........................................14860 [[Page 29]] 270.22c-1 (b)(1) revised; (d) added................................49922 270.23c-3 Added....................................................19343 270.23c-3 (b)(2)(iii) corrected....................................29695 270.24b-2 Amended; interim.........................................14860 270.34b-1 Revised..................................................19055 (b)(2) corrected...............................................21927 270.45a-1 (b) amended; interim.....................................14860 274 Technical correction...........................................17327 274.5 Form N-5 amended; interim....................................14862 274.11 Form N-1 amended; interim...................................14861 274.11A Form N-1A amended; interim; eff. 11-1-93...................14861 Form N-1A amended.................................19056--19058, 49922 274.11a-1 Form N-2 amended; interim; eff. 11-1-93..................14861 Form N-2 amended...............................................19346 274.11b Form N-3 amended; interim; eff. 11-1-93....................14861 Form N-3 amended; final........................................49922 274.11c Form N-4 amended; interim; eff. 11-1-93....................14862 274.101 Form N-SAR amended; interim; eff. 11-1-93..................14861 274.221 Added......................................................19345 274.401 Regulation at 57 FR 18221 confirmed........................14659 274.402 Regulation at 57 FR 18221 confirmed........................14659 274.403 Revised; interim...........................................14861 274.404 Added; interim.............................................14861 276 Interpretive releases.............................................11 1994 17 CFR 59 FR Page Chapter I 1 Authority citation revised........................................5525 Fee schedule...................................................11544 1.3 (y)(viii) amended...............................................5525 1.10 (b)(3) amended.................................................5525 1.12 (g) redesignated as (h); new (g) added; (a)(1), (b)(3), (e) and new (h)(2) amended.....................................66688 1.14 Added.........................................................66688 1.15 Added.........................................................66690 1.17 (a)(2)(i) amended..............................................5525 1.35 (g) amended....................................................5525 1.39 (c) amended....................................................5525 1.41 (b) introductory text, (c)(1), (d)(2), (h), (o)(1)(ii), (p)(2)(ii), (3) and (q) revised; (l)(1)(iii) redesignated as (l)(1)(iv); new (l)(1)(iii) added........................2289 (a)(5), (b), (c)(1), (2), (d)(2), (3), (4), (f), (h)(2), (i)(2), (j)(2), (k)(2), (l)(2), (m)(2), (n)(2), (o)(2), (p)(3), (q)(3), (r)(3), (s)(2) and (t)(2) amended...........................5525 1.41a (a)(5) revised................................................2290 (a)(1) and (2) amended..........................................5525 (a)(3), (4) and (5) amended.....................................5526 1.41b (a) and (b) amended...........................................5526 1.46 (d)(1) amended.................................................5526 1.50 (a) and (b) amended............................................5526 1.51 (a) amended....................................................5526 1.52 (i) amended....................................................5526 1.53 Amended........................................................5526 1.55 (c) revised, Appendix A added.................................34380 (c) Appendix A amended.........................................38119 1.61 (a)(1), (b)(1), (f) and (i) amended............................5526 1.62 (a)(1) and (2) corrected.......................................5700 1.64 (b) introductory text corrected................................5082 3 Authority citation revised, Appendix A amended....................5315 3.40--3.47 (Subpart B) Authority citation removed.........................................5315 3.50--3.64 (Subpart C) Authority citation removed.........................................5315 3.70 (Subpart D) Authority citation removed.........................5315 3.75 (Subpart E) Authority citation removed; (d) amended............5315 4 Authority citation correctly revised..............................5082 5 Fee schedule.....................................................11544 5.2 (b) and (c)(1) amended..........................................5316 5 Appendix A amended..........................................2291, 5316 7 Authority citation revised........................................5316 9 Technical correction.............................................10228 9.1 (b)(1) amended..................................................5701 9.25 Amended........................................................5701 10.1 (a) corrected; (b), (c) and (d) amended........................5701 10.3 (d) amended....................................................5701 11 Authority citation revised.......................................5702 11.1 Amended........................................................5702 12 Authority citation revised.......................................9635 12.1 (c) amended; eff. 5-2-94.......................................9635 12.2 Revised; eff. 5-2-94...........................................9635 12.6 (b) amended; eff. 5-2-94.......................................9636 [[Page 30]] 12.7 (b) introductory text and (c)(3) amended; eff. 5-2-94..........9636 12.10 (a)(1) and (3) amended; eff. 5-2-94...........................9636 12.13 (a) and (b)(2) amended; (b)(1)(v) and (viii) revised; eff. 5-2-94......................................................9636 12.16 Revised; eff. 5-2-94..........................................9636 12.18 (a)(7) revised; eff. 5-2-94...................................9637 12.25 (a)(1), (2), (3), (b)(1), (2) and (c) amended; eff. 5-2-94 9637 12.26 (a), (b) and (c) amended; eff. 5-2-94.........................9637 12.30 (d) amended; eff. 5-2-94......................................9637 12.106 (c) amended; eff. 5-2-94.....................................9637 12.201 (g) revised; eff. 5-2-94.....................................9637 12.204 (a) and (b) amended; eff. 5-2-94.............................9637 12.208 (b) revised; eff. 5-2-94.....................................9637 12.209 Revised; eff. 5-2-94.........................................9637 12.210 (a) and (b)(4) amended; eff. 5-2-94..........................9638 12.314 (b)(4) amended; eff. 5-2-94..................................9638 12.315 Amended; heading revised; eff. 5-2-94........................9638 12.404 Amended; eff. 5-2-94.........................................9638 12.408 Heading revised; introductory text and (b) amended; eff. 5- 2-94........................................................9638 15.03 Revised......................................................66162 19 Authority citation revised.......................................5702 21 Authority citation revised.......................................5702 21.03 (h) amended...................................................5702 Regulation at 59 FR 5702 eff. date corrected to 2-8-94.........10228 30 Authority citation revised.......................................5703 Appendix B amended.........................1917, 22972, 27234, 62316 Appendix B amended; eff. 4-4-94................................10282 Appendix C amended.............................................22506 Appendix A amended.............................................42158 30.2 (a) amended....................................................5703 31 Fee schedule....................................................11544 31.5 (d) amended....................................................5703 32 Authority citation revised.......................................5703 32.1 (b)(2) amended.................................................5703 32.3 (c) amended....................................................5703 33 Authority citation revised.......................................5526 33.2 (a)(2) amended.................................................5526 33.3 (b)(1)(ii)(A) amended..........................................5526 33.4 Introductory text, (a)(3) and (4) amended......................5526 33.7 (a)(1)(i) revised.............................................34381 100 Authority citation revised......................................5527 140 Authority citation revised......................................5527 143 Authority citation revised......................................5527 Authority citation corrected...................................10228 145 Appendix A amended..............................................5528 148.3 (a) amended...................................................5528 150.6 Amended.......................................................5528 155.2 Introductory text amended.....................................5528 156 Authority citation corrected....................................5704 Regulation at 59 FR 5704 eff. dated corrected to 2-8-94........10228 166 Authority citation revised......................................5529 180.3 (c) amended...................................................5529 190 Authority citation revised......................................5704 Authority citation corrected...................................10228 190.01 (kk)(2)(ii) amended..........................................5704 190.05 (b) amended..................................................5704 190.08 Introductory text revised...................................17471 190.10 (c)(1) revised..............................................34382 190 Appendix designated as Appendix A and amended; Appendix B added......................................................17471 Chapter II 200 Authority citation amended.....................................52695 200.1--200.30-16 (Subpart A) Authority citation revised.............5943 200.11 Heading, (a)(2) and (b) revised; (c) added...................5943 (b) corrected..................................................12543 200.12 Amended......................................................5943 200.27 Amended; heading revised.....................................5943 200.27a Added.......................................................5943 200.30-1 (g)(2) amended.............................................5943 200.30-3 Regulation at 58 FR 52902 eff. date delayed to 6-7-95.....59137 (a)(56) added..................................................63660 (a)(57), (58) and (59) added...................................66700 200.30-4 (a)(10) added.............................................23794 (b-2) introductory text and (1) revised; (b-3) and (b-4) redesignated as (b-4) and (b-5); new (b-3) added...................43464 (a)(5) and authority citation removed..........................52695 200.30-5 (i)(1) amended.............................................5943 200.30-6 Heading and (a) introductory text amended..................5943 200.30-6a Added.....................................................5943 200.30-11 (c)(2) amended............................................5944 200.30-14 (g)(1) introductory text, (2), (5) and (h) revised.......39680 [[Page 31]] 200.30-16 Introductory text amended; (b) removed; (c) and (d) redesignated as (b) and (c); new (b) and new (c) revised 39681 200.41 (a) revised.................................................53936 200.42 (b)(2) redesignated as (b)(3); new (b)(2) added.............53936 200.80 (c)(1)(ii), (iii), (2), (d)(7)(i), (e) introductory text and (7)(iii) amended........................................5944 (c)(1)(iii) corrected..........................................12543 200.90--200.104 (Subpart E) Removed.................................5944 200.202 (a) amended.................................................5944 200.203 (c)(1)(vi) amended; (c)(1)(vii) added.......................5944 200.204 Amended.....................................................5945 200.303 (a)(2) and (b)(2) amended...................................5945 (a)(2) corrected...............................................12543 200.309 (a)(1) amended..............................................5945 200.735-1--200.735-16 (Subpart M) Authority citation revised.......43464 200.735-5 (e)(1)(ii) amended.......................................43464 202.2 Amended.......................................................5945 202.3 (a) amended...................................................5945 202.5 (c) amended...................................................5945 202.7 (a) amended...................................................5945 203.2 Amended.......................................................5945 203.7 (a) amended...................................................5945 210 Authority citation revised.....................................65631 210.1-02 (l) through (aa) redesignated as (m) through (bb); new (l) added..................................................65636 210.3-05 (b)(1) introductory text amended; (c) added...............65636 210.3-09 (a) and (b) amended; (d) added............................65636 210.3-12 (f) amended...............................................65636 210.3-20 Revised...................................................65631 210.4-08 (g) revised...............................................65636 210.5-02 (b) amended...............................................65636 210.5-04 (a) revised; (c) amended..................................65636 210.6-07 Amended...................................................65636 210.6-10 Amended...................................................65636 210.7-05 (a) revised; (c) amended..................................65637 210.9-07 Removed...................................................65637 210.12-01 Revised..................................................65637 210.12-02 Removed..................................................65637 210.12-03 Removed..................................................65637 210.12-05 Removed..................................................65637 210.12-06 Removed..................................................65637 210.12-07 Removed..................................................65637 210.12-08 Removed..................................................65637 210.12-10 Removed..................................................65637 210.12-11 Removed..................................................65637 211 Interpretive releases..........................................12758 Interpretive releases..........................................26109 228.601 (c)(1)(ii) revised; (c)(2)(iv) added.......................36260 Table, (b)(4)(iii), (10) and (25)(ii) amended; (b)(28)(iv), (99)(ii) and (c)(1)(ii) note revised; (c)(1)(vi) note redesignated as (c)(1)(vi) Note 1; (c)(1)(vi) Note 2 added......................67759 229.401 (e) amended; authority citation removed....................52695 229.404 (b) amended................................................65637 229.512 (a)(1)(iii) amended; (a)(4) revised........................21649 229.601 (c)(1)(ii) revised; (c)(2)(iv) added.......................36260 (b)(21)(ii) amended............................................65637 Table, (b)(4), (10) and (25)(ii) amended; (b)(99)(iii), (c)(1)(ii) note and (c)(3)(ii) revised; (c)(1)(vi) note redesignated as (c)(1)(vi) Note 1; (c)(1)(vi) Note 2 added.........67760 229.901 (c) revised................................................63682 229.911 (a)(2)(vi) amended; (a)(2)(vii) added; (b) revised.........63683 230.135 (a)(6) revised.............................................21649 230.135c Added.....................................................21649 230.139 Authority citation removed.................................21649 (a) redesignated as (a)(1); (a)(2) added.......................21650 230.405 Amended....................................................67761 230.416 (a)(1)(ix) and (x) amended; (a)(1)(xi) added...............43470 230.445 (b) amended.................................................5945 230.457 (o) revised................................................21650 230.462 Revised....................................................21650 230.475a Revised...................................................21650 230.477 Authority citation removed.................................21649 (b) revised....................................................21650 230.483 (e)(3)(iii) added; (e)(4) revised..........................36261 (e)(1)(iv) note redesignated as (e)(1)(iv) Note 1; (e)(1)(iv) Note 2 added.......................................................67761 230.485 Revised....................................................43464 230.486 Revised....................................................43464 230.487 (c) revised................................................43465 230.488 (c)(2) removed; (c)(1) redesignated as (c).................67761 230.502 (c) revised................................................21650 [[Page 32]] 230.902 (b)(7) added...............................................21650 231 Interpretive releases..........................................12758 Interpretive releases..........................................26109 232.12 (b) amended.................................................67761 232.13 (d) added...................................................67761 232.101 (a)(1)(i), (iii), (c) heading, (2), (3), (8) and (10) revised; (b)(3), (4), (5) and (c)(18) through (21) added; (c)(16) amended............................................67761 232.102 (a) and (e) revised........................................67762 232.301 Revised......................................36263, 49573, 68068 232.302 (b) revised; (c) added.....................................67762 232.303 (a)(3) and (4) added.......................................67762 232.304 (a) and (d) revised........................................67762 232.306 (a) note amended...........................................67762 232.311 (b), (c), (d) revised; (e), (f), (g) and (h)(2) amended....67763 232.901 (a) note and (c)(4) note added; (d) heading, introductory text and (2) revised.......................................67763 232.902 (a) note added; (e), (g) heading, introductory text and (2) revised................................................67763 239.0-1 (b) amended.................................................5945 239.11 Form S-1 amended............................................63683 239.14 Form N-2 amended.....................................43468, 52702 Form N-2 amended; authority citation removed...................52701 239.15A Form N-1A amended..........................................43468 Form N-1A corrected............................................48799 Form N-1A amended; authority citation removed..................52701 239.16 Form S-6 amended.....................................43468, 67763 Form S-6 corrected.............................................48799 239.17a Form N-3 amended.............................43468, 52702, 52703 Form N-3 corrected.............................................48799 239.17b Form N-4 amended...........................................43468 Form N-4 corrected.............................................48799 239.18 Form S-11 amended...........................................63683 239.23 Form N-14 amended...........................................52695 239.25 Form S-4 amended............................................63683 239.31 Form F-1 amended.....................................21650, 63683 239.32 (b)(2), (d), (g) and Form F-2 amended.......................21651 239.33 (a)(4) removed; (a)(5), (6) and (7) redesignated as (a)(4), (5) and (6); (a) introductory text, (1), (2), new (5) and (b)(1) through (4) revised; new (a)(5)(iii) note and Form F-3 amended................................................21652 Form F-3 amended........................................21653, 21654 Corrected......................................................25811 239.34 Form F-4 amended..............................21654, 21655, 63683 239.39 (a)(2) and Form F-9 amended...................................243 239.64 Form SE amended.............................................67766 239.65 Form TH amended.............................................67767 240 Authority citation amended.......................10985, 55012, 66709 Phase-in period extended.......................................42448 240.3a12-8 (a)(1)(xiii) and (xiv) amended; (a)(1)(xv) added........54815 240.3a12-11 Added..................................................55347 240.3b-11 Added....................................................63684 240.6a-2 (a)(1) amended; (a)(3) and (b) revised....................66700 240.10b-10 (a)(7)(iii) redesignated as (a)(7)(iv); new (a)(7)(iii) and (e)(9) added; (a)(8) revised; eff. 4-3-95..............55012 (c) removed; (d), (e) and (f) redesignated as (c), (d) and (e); note, new (d) heading and (10) added; (a), (b), new (d) introductory text and (6) introductory text revised; eff. 4-3-95 59620 (a)(2)(ii)(A) corrected........................................60555 240.10b-21 Redesignated from 240.10b-21(T).........................10985 240.10b-21(T) Redesignated as 240.10b-21...........................10985 240.11Ac1-3 Added; eff. 4-3-95.....................................55012 240.12b-7 Amended..................................................55347 240.12b-15 Amended.................................................67764 240.12b-25 (e)(2) amended..........................................67764 240.12d1-2 Heading revised; existing text designated as (a); (b) added......................................................55347 240.13d-2 (c) revised; note amended................................67764 240.14a-2 Heading and introductory text revised; (a) introductory text, (b) introductory text, (2) and (3) amended; (b)(4) added......................................................63684 240.14a-3 (b) introductory text and (e)(2) revised; (b)(1) amended; (b)(12) removed...................................52696 240.14a-4 (a)(3) note added........................................67764 240.14a-6 (i) introductory text revised............................52696 (n) added......................................................63684 (m) amended....................................................67764 240.14a-7 (b) revised..............................................63684 240.14a-15 Added...................................................63684 240.14a-101 Amended.........................................52696, 67764 240.14a-104 Added..................................................63685 [[Page 33]] 240.14c-3 (a) introductory text revised; (a)(2) removed............52700 (b) note removed...............................................67765 240.14c-5 (h) amended..............................................67765 240.14c-101 Amended................................................67765 240.14e-1 (e) amended..............................................67765 240.14e-7 Added....................................................63685 240.15Aj-1 (c)(1) revised..........................................66700 240.15c2-12 (c) through (f) redesignated as (d) through (g); note, (b)(5), new (c), (f)(9) and (10) added; (a), new (d), new (e) and new (f)(3) revised; new (g) amended; eff. in part 7-3-95 and in part 1-1-96..................................59609 240.15c3-1 (a)(6)(iv) introductory text, (v), (7)(iv), (c)(2)(x)(B)(1)(ii), (F)(3), (c)(12) and (e)(1)(iv) amended.....................................................5945 240.15c3-1d (c)(6)(i) and (ii) amended..............................5946 240.15c6-1 Regulation at 58 FR 52903 eff. date delayed to 6-7-95 59137 240.17a-3 (b)(2) amended............................................5945 240.17a-5 (a)(3), (b)(1), (c)(1) introductory text, (2)(iii), (iv), (d)(1)(i), (6), (e)(4) introductory text, (f)(2)(i), (4) introductory text and (m)(1) amended....................5945 240.17a-7 (b)(1) and (2) amended....................................5945 240.17a-11 (g) amended..............................................5945 240.17a-21 (a)(4) revised..........................................66701 240.17a-23 Added; eff. 6-1-95......................................66709 240.17Ad-2 (h)(1) amended...........................................5946 240.17Ad-16 Added..................................................63661 240.19b-4 (e) revised..............................................66701 241 Interpretive releases...................................12758, 26109 249.0-1 (b) amended.................................................5946 249.208a (c) added; Form 8-A amended...............................55347 Form 8-A amended...............................................67765 249.220f Form 20-F amended....................21656, 65632, 65637, 65640 249.308 Form 8-K amended...........................................67765 249.310 Heading revised; section amended; Form 10-K amended........67765 249.310b Form 10-KSB amended.......................................67765 249.311 Form 11-K amended..........................................67765 249.322 Form 12b-25 amended........................................67766 249.444 Form SE amended............................................67766 249.447 Form TH amended............................................67767 249.636 Added; Form 17A-23 added; eff. 6-1-95......................66710 249.803 Form X-15AJ-2 amended......................................66701 249.819 Form 19b-4 amended..................................66701, 66702 249b.100 Footnote amended...........................................5946 249b.102 Footnote amended...........................................5946 249b.200 Footnote amended...........................................5946 250 Comment request................................................55573 250.7 (a) revised; (b)(2)(i) and (3)(i) amended; authority citation removed...........................................21927 250.26 (b)(2) amended; authority citation removed..................21927 250.27 (a) amended.................................................21927 250.29 Revised.....................................................21927 250.40 (a)(5) revised..............................................21927 250.41 (c) revised.................................................21928 250.42 Revised.....................................................21928 250.43 (b) revised.................................................21928 250.44 (b) revised.................................................21928 250.49 (c) amended.................................................21928 250.50 Removed.....................................................21928 250.52 (c) amended.................................................21928 250.62 (d)(2) and (3) amended......................................21928 250.63 Amended.....................................................21928 250.65 (b)(2) revised..............................................21928 250.71 Heading and (b) revised.....................................21928 250.111 Removed....................................................67766 259.0-1 (b) amended.................................................5946 259.5b Form U5B amended............................................67766 259.5s Form U5S amended.....................................21928, 67766 259.101 Form U-1 amended...........................................67766 259.212a Form U-12(I)-A amended....................................21929 259.212b Form U-12(I)-B amended....................................21929 259.313 Form U-13-60 amended.......................................36262 259.603 Form SE amended............................................67766 259.604 Form TH amended............................................67767 269.0-1 (b) amended.................................................5946 260.0-12 Removed...................................................67766 269.8 Form SE amended..............................................67766 269.10 Form TH amended.............................................67767 270.2a19-2 (a)(4) corrected........................................15501 270.6e-3(T) Amended................................................43467 270.20a-1 (a) amended; (c) removed.................................52700 270.20a-2 Removed..................................................52700 270.20a-3 Removed..................................................52700 270.20a-4 Removed..................................................52700 270.30d-1 (b), (c) and (d) redesignated as (c), (d) and (e); new (b) added..................................................52700 274 Authority citation revised..............................43467, 52701 [[Page 34]] 274.0-1 (b) amended.................................................5946 274.11 Authority citation removed..................................52701 274.11A Form N-1A amended..........................................43468 Form N-1A corrected............................................48799 Form N-1A amended; authority citation removed..................52701 274.11a-1 Form N-2 amended...........................43468, 52701, 52702 Authority citation removed.....................................52701 274.11b Form N-3 amended.............................43468, 52702, 52703 Form N-3 corrected.............................................48799 274.11c Form N-4 amended...........................................43468 Form N-4 corrected.............................................48799 274.51 Authority citation removed..................................52701 274.101 Authority citation removed.................................52701 274.403 Form SE amended............................................67766 274.404 Form TH amended............................................67767 275 Authority citation amended.....................................21661 275.204-1 (b)(1) revised...........................................21661 275.204-3 (f) redesignated as (g); new (f) and (g)(4) added........21661 275.204-2 (j)(3)(i) and (ii) amended................................5946 279.0-1 (b) amended.................................................5946 279.1 Form ADV amended.............................................21662 Form ADV corrected.............................................27659 Chapter IV 402 Authority citation revised.....................................53731 402.2d (j) amended.................................................53731 403 Authority citation revised......................................9405 403.1 Revised; eff. 4-29-94.........................................9405 403.4 (g) revised; (l) added; eff. 4-29-94..........................9406 403.5 (g) redesignated as (h); (c)(1)(iii) and new (h) revised; new (g) added; eff. 4-29-94.................................9406 405 Authority citation revised.....................................53731 405.3 (a)(4) and (5) removed; (a)(6), (7), (8) and (c)(5) redesignated as (a)(4), (5), (6) and (c)(6); heading, new (a)(5) and new (c)(6) revised; new (c)(5) and (7) added; OMB number.................................................53731 (c)(5) corrected...............................................55910 1995 17 CFR 60 FR Page Chapter I 1 Fee schedule.....................................................25988 Technical correction...........................................50244 1.15 (a)(1) introductory text and (4) correctly revised............13901 1.55 (a)(1)(iii) added.............................................38182 1.62 (b) amended...................................................49334 1.65 (d) amended...................................................49334 1.66 (b)(2), (3) and (5)(ii) amended...............................54801 1.70 (a), (b) and (d) amended; (c) revised.........................49334 1 Appendix B amended...............................................49334 3.33 (e) amended...................................................49334 3.34 (b)(3) and (4) revised; (b)(5) added..........................63912 3.50 (c) amended...................................................49334 (d) amended....................................................54801 3.55 (b), (c) and (e)(2) amended...................................54801 3.56 (b)(3), (c) and (e)(2) amended................................54801 3.60 (b) introductory text, (2)(ii), (c) introductory text, (d)(3), (h)(4) and (5)(i) amended..........................54801 3.64 (a), (b)(1), (2) and (d) amended..............................54801 3.70 (a) amended...................................................49334 4 Technical correction.............................................50244 4.2 (a) amended....................................................49334 4.7 (a)(2)(i)(A), (4), (b)(2)(i)(A) and (4) amended................38182 4.8 Heading, (a) and (b) amended...................................38182 4.10 (d) redesignated as (d)(1); (d)(2) through (5) and (h) through (l) added; (e) revised.............................38182 4.12 (b)(2)(i) and (5)(i) revised..................................38183 4.21 Revised.......................................................38183 4.23 (a)(3) revised................................................38183 4.24 Added.........................................................38183 4.25 Added.........................................................38186 4.26 Added.........................................................38188 4.31 Revised.......................................................38189 4.32 Redesignated as 4.33..........................................38189 4.33 Redesignated from 4.32; (a)(2) revised........................38189 4.34 Added.........................................................38189 4.35 Added.........................................................38191 4.36 Added.........................................................38192 4.41 (b)(1) revised................................................38192 5 Fee schedule.....................................................25988 5 Appendixes B and C amended.......................................49334 9.4 (a) amended....................................................49334 9.9 (b)(1) introductory text, (3) and (4) amended..................54801 9.11 (c) amended...................................................49334 10.2 (i) revised...................................................54801 [[Page 35]] 10.4 Amended.......................................................54801 10.7 Amended.......................................................54801 10.10 (a)(1)(iii) revised; (a)(1)(iv) amended......................54801 10.12 (a)(3), (b), (e)(1), (2), (5), (6) and (f)(1) amended; (d) and (g) revised............................................54802 10.22 (b) amended..................................................54802 10.23 (a) amended..................................................54802 10.26 (a) introductory text amended................................54802 10.42 (c)(1) amended...............................................54802 10.44 (d)(2)(ii) and (f)(1) amended................................54802 10.65 (b) amended..................................................54802 10.68 (a)(1) and (b)(3) amended....................................54802 10.81 Amended......................................................54802 10.83 Amended......................................................54802 10.84 (b) and (c) concluding text amended..........................54802 10.92 (a), (b)(2) and (3) amended..................................54802 10.102 (a) and (c) amended.........................................54802 10.103 (a) amended.................................................54802 10.105 Amended.....................................................54802 10.108 (d) amended.................................................54802 10.109 Introductory text, (a)(2)(ii), (b) and (c) amended..........54802 11.2 (a) amended...................................................54802 11 Appendix A amended..............................................49334 12.3 Amended.......................................................49335 12.10 (a)(2) amended...............................................49335 12.13 (b)(3) amended...............................................49335 12.18 (e) amended..................................................49335 13.2 Amended.......................................................49335 14.9 Amended.......................................................49335 15.05 (d) amended..................................................49335 21.02 a(c) amended.................................................54802 30 Technical correction............................................50244 30.6 (b)(1) and (2) revised........................................38193 30 Appendix B amended.........................19494, 34459, 41803, 65237 Appendixes B and C amended.....................................30466 31 Fee schedule....................................................25988 31 Appendix A amended..............................................49335 36 Added...........................................................51342 Technical correction...........................................56093 140.1 (a) amended..................................................49335 140.91 (a)(3) and (4) redesignated (a)(5) and (6); new (a)(3) and new (4) added...............................................8195 144.1 (b) amended..................................................49335 145.6 (a) amended..................................................49335 145 Appendixes A and D amended; Appendix C removed.................49335 146.3 (a) amended..................................................49335 146.4 (b) amended..................................................49335 146.5 (f) amended..................................................49335 146.6 (d) amended..................................................49335 146.8 (a) and (d) amended..........................................49335 146.9 (c) amended..................................................49336 146.11 (b) amended.................................................49336 146 Appendix A amended.............................................49336 147.4 (d)(1) revised...............................................49336 147.5 (h) and (i) amended..........................................49336 147.6 (c) amended..................................................49336 147.8 (a) amended..................................................49336 147.9 (b) amended..................................................49336 148.30 Amended.....................................................49336 149.170 (c) amended................................................49336 150 Technical correction...........................................50244 150.3 (a)(4)(i)(D) revised.........................................38193 155.5 (d)(1) amended...............................................49336 170.11 (a) amended.................................................49336 171.3 Amended......................................................49336 171.8 (a) and (b) amended..........................................49336 190.10 (a) amended.................................................49336 Chapter II 200.1 (a) amended..................................................14623 (j) revised....................................................32794 200.2 (b) through (e) and (g) revised..............................14624 200.12 Amended.....................................................14624 200.13 Revised.....................................................14624 200.13b Amended....................................................14625 200.14 Revised.....................................................14625 200.16 Amended.....................................................32794 200.16a Revised....................................................14625 200.17 Revised.....................................................14625 200.18 (b)(3) and (5) amended......................................14625 200.19a Introductory text revised..................................14625 200.19b Revised....................................................14626 200.19c Added......................................................39644 200.20b Introductory text amended; (f) revised; (g) removed........14626 200.20c Amended....................................................14626 200.21 (b)(2) amended..............................................14626 200.21a Revised....................................................14626 200.22 Revised.....................................................14626 200.23a Revised....................................................14627 200.23b Removed....................................................14627 200.24 Amended.....................................................14627 200.24a Revised....................................................14627 200.25 Revised.....................................................14627 200.26 Removed.....................................................14627 200.26a Amended....................................................14627 200.27 Amended.....................................................14627 200.30-1 (e)(2), (6), (f)(4), (8), (12) and (g)(2) revised.........14627 200.30-3 (f) revised...................................................6 [[Page 36]] (a)(21), (22), (32), (35)(i), (39) introductory text, (ii) and (42) revised; (a)(35) introductory text added......................14628 (a)(60) added..................................................28718 200.30-4 (a)(5) amended............................................32794 200.30-4 (a)(2) revised............................................14628 200.30-5 (f)(1)(xxiv) and (xxv) added; (f)(5), (g) and (h) removed; (f)(6) through (f)(9) and (i) through (n) redesignated as (f)(5) through (8) and (g) through (l); (a)(1), (2), (b), (d), (e)(3), (4) and (g)(1) revised;.....14628 Corrected......................................................15674 200.30-6 (a) introductory text revised.............................14628 200.30-7 (a)(1) through (5) and (9) amended; (a)(10) added.........32794 (a)(4) revised.................................................14629 200.30-9 Revised............................................14629, 32794 200.30-10 (a)(6) removed; (a)(7) and (8) redesignated as (a)(6) and (7); (a)(1) through (5) and new (6) amended............32794 200.30-11 Heading, introductory text, (a), (b) and (d) revised.....14629 200.30-12 Removed..................................................14630 200.30-13 Amended..................................................14630 200.30-14 (a) and (b) amended......................................14630 (g)(1) introductory text, (2) and (4) through (7) revised; (g)(1)(x) through (xiv) added......................................32794 200.30-15 Revised..................................................14630 200.30-18 Added....................................................39644 200.40--200.42 (Subpart B) Authority citation revised..............17202 200.40 Revised.....................................................17202 200.41 Redesignated as 200.42; new 200.41 added....................17202 200.42 Redesignated as 200.43; new 200.42 redesignated from 200.41; (a) and (b) amended................................17202 200.43 Redesignated from 200.42; (c)(1) amended....................17202 (a)(1)(iii) amended............................................32795 Corrected......................................................62295 200.80--200.83 (Subpart D) Authority citation revised..............50091 200.80f Revised....................................................50091 200.110--200.114 (Subpart F) Authority citation revised............32795 200.111 (d)(1)(i) and (2) amended..................................32795 200.301--200.313 (Subpart H) Authority citation amended............32795 200.312 (a)(8) amended.............................................32795 200.401 (a) amended................................................17202 200.550--200.554 (Subpart K) Authority citation revised............32795 200.554 (a) amended................................................32795 200.735-5 (k) revised..............................................52626 200.735-13 (c) amended.............................................32795 201 Authority citation removed.....................................32795 201.1--201.29 (Subpart A) Removed..................................32795 201.31--201.60 (Subpart B) Authority citation revised..............32795 201.42 (b) amended.................................................32795 201.54 Amended.....................................................32795 201.57 Amended.....................................................32795 201.60 Removed.....................................................32795 201.61--201.68 (Subpart C) Authority citation revised..............32795 201.100--201.900 (Subpart D) Added.................................32796 201.100 (b)(2) corrected...........................................46499 201.230 (a)(1)(vi) correctly revised...............................46499 201.430 (a) and (c) corrected......................................46500 201.431 (a) corrected..............................................46500 202.3a Introductory text amended...................................26613 202.8 Removed......................................................32823 203.3 Amended......................................................32823 203.7 (b) amended..................................................32823 203.8 Amended......................................................32823 209 Added..........................................................32823 210.6-07 Amended...................................................38923 211 Staff Accounting Bulletin No. 94 added.........................20022 Staff Accounting Bulletin No. 94 corrected.....................24968 Staff Accounting Bulletin No. 95 added.........................66072 228.10 (f) added...................................................32824 228.501 (a)(4) revised.............................................26613 228.502 Introductory text and (f) revised; (a)(1) heading removed; (a)(1), (b) and (c) amended................................26613 228.503 (b) and (c) revised........................................26613 228.512 (a)(1)(ii) amended.........................................26614 228.601 (b)(24) amended............................................26614 229.10 (d) added...................................................32824 229.501 (c)(4) revised.............................................26614 229.502 Introductory text, (a) introductory text and (g) revised; (b), (c) and (f) introductory text amended.................26614 [[Page 37]] 229.503 (b) and (c) revised; authority citation removed............26614 229.512 (a)(1)(ii) revised.........................................26615 229.601 (b)(24) amended............................................26615 229.801 Guide amended..............................................26615 230 Authority citation amended.....................................26615 230.110 (a) amended; (d) added.....................................26615 230.111 Existing text designated as (a); (b) added.................26615 230.138 Revised.....................................................6965 230.139 Introductory text and (a)(2) revised........................6966 230.402 (d) and (e) added..........................................26615 230.406 (e), (g), (h)(1) and (2) amended...........................32824 (b)(1) and (3) revised.........................................47692 230.411 (b)(4) and (c) amended.....................................32824 230.424 (b)(7) amended.............................................26615 230.429 Authority citation removed.................................26615 (b) amended....................................................26616 230.430A (a)(3) and Instruction amended............................26616 230.434 Added......................................................26616 230.439 Authority citation removed.................................26615 Existing text designated as (a); (b) added.....................26617 230.455 Amended....................................................26617 230.457 (o) revised................................................26617 230.461 Authority citation removed.................................26615 (a) amended....................................................26617 230.462 Heading revised; existing text designated as (a); (b) and (c) added..................................................26617 230.472 (e) added..................................................26618 230.483 (b) amended; (c) redesignated as (c)(1); (c)(2) added......26618 230.497 (h) redesignated as (h)(1); (h)(2) added...................26618 231 Table amended..................................................35666 Interpretive releases..........................................53467 232.13 (a)(3) added................................................26618 232.101 (c)(13) amended............................................32824 (c)(7) removed; (b)(4), (5) and (c)(8) through (21) redesignated as (b)(7), (8) and (c)(7) through (20); (a)(1)(iv), (b)(2), new (c)(8) and new (13) revised; new (b)(4), new (5) and (6) added..........................................................57684 232.102 (a) amended................................................32824 232.301 Revised.............................................27692, 57684 239.9 Form SB-1 amended............................................26618 239.10 Form SB-2 amended...........................................26618 239.11 Form S-1 amended............................................26619 239.12 Form S-2 amended............................................26619 239.13 Form S-3 amended............................................26620 239.14 Form N-2 amended.....................................26623, 38924 239.15A Form N-1A amended; eff. 4-3-95.............................11886 239.15A Form N-1A amended...................................38923, 38924 239.17a Form N-3 amended...........................................38924 239.17b Form N-4 amended...........................................38925 239.18 Form S-11 amended...........................................26620 239.23 Form N-14 amended; eff. 4-3-95..............................11887 239.31 Form F-1 amended............................................26620 239.32 Form F-2 amended............................................26621 239.33 Form F-3 amended............................................26621 240 Technical correction............................................5461 Phase-in period extension......................................40994 240.3a12-8 (a)(1)(xiv) and (xv) amended; (a)(1)(xvi) added.........62326 240.10b-10 Regulation at 59 FR 55012 eff. date delayed to 10-2-95; regulation at 59 FR 59620 eff. date in part postponed to 10-2-95....................................................14366 240.11Ac1-3 Regulation at 59 FR 55012 eff. date delayed to 10-2-95 14366 240.12b-11 (d) added...............................................26622 240.12b-23 (b) amended.............................................32825 240.12b-32 (a) amended.............................................32825 240.12f-1 (a)(5) and (6) redesignated as (a)(6) and (7); heading, (a) introductory text and new (6) revised; new (a)(5) added......................................................20896 240.12f-2 Revised..................................................20896 240.12f-3 (b) revised..............................................20896 240.12f-5 Added....................................................20896 240.12f-6 Removed..................................................20896 240.14a-101 Note D1 amended........................................32825 240.14d-1 (d) added................................................26622 240.15c2-8 (b), (c) and (d) amended; (j) added; authority citation removed....................................................26622 240.15c6-1 (a) and (b) amended; (b)(2) removed; (b)(3) redesignated as (b)(2); (c) and (d) added..................26622 240.16a-3 (i) added................................................26622 240.17a-23 Regulation at 59 FR 66702 eff. date delayed to 7-1-95 28717 240.19d-2 Revised..................................................32825 240.19d-3 Revised..................................................32825 [[Page 38]] 240.24b-2 (d)(2), (e)(1) and (2) amended...........................32825 (b)(2) redesignated in part as (b)(3); (b)(1) and new (3) revised............................................................47692 241 Interpretive releases..........................................53467 249.27 Removed.....................................................20896 249.28 Removed.....................................................20896 249.208a Form 8-A corrected.........................................3079 250.22 (b)(1) amended..............................................32825 250.45 (b)(4) revised..............................................33639 250.52 Revised.....................................................33639 260.7a-29 (a) amended..............................................32825 270 Authority citation amended.....................................11889 270.0-4 (a) amended................................................32825 270.6c-10 Added; eff. 4-3-95.......................................11889 270.8b-11 (e) added................................................26622 270.8b-25 (b) amended..............................................14630 270.8b-32 (a) amended..............................................32825 270.12b-1 (g) added; eff. 4-3-95...................................11885 270.18f-3 Added; eff. 4-3-95.......................................11885 270.24e-2 (a)(1) amended...........................................47045 270.24f-1 (a) and (c) amended; authority citation removed..........47045 270.24f-2 (b)(1), (3) and (c) revised; (e) and (f) added; authority citation removed.................................47045 271 Interpretive releases..........................................53467 274.11A Form N-1A amended; eff. 4-3-95.............................11886 Form N-1A amended.......................................38923, 38924 274.11a-1 Form N-2 amended..................................26623, 38924 274.11b Form N-3 amended...........................................38924 274.11c Form N-4 amended...........................................38925 274.24 Added.......................................................47046 275.0-6 (a) and note amended.......................................32825 Chapter IV 400.4 OMB number...................................................11026 400.5 OMB number...................................................11026 400.6 OMB number...................................................18734 401.9 OMB number...................................................11026 402 Authority citation revised.....................................11024 402.1 (d) and (e)(1) revised.......................................11024 402.2 (b), (c) and (i) revised; OMB number.........................11024 402.2e Added.......................................................11026 (a)(1) corrected...............................................12825 403.4 OMB number...................................................18734 403.5 OMB number...................................................11026 404 Authority citation revised..............................11026, 20399 404.2 (a)(4) revised; OMB number...................................11026 (b) and (c) redesignated as (c) and (d); new (b) added; new (c) revised........................................................20399 404.3 OMB number...................................................11026 404.4 OMB number...................................................11026 404.5 OMB number...................................................11026 405 Authority citation revised.....................................20400 405.2 OMB number...................................................11026 405.3 OMB number...................................................18734 405.5 Added (OMB number)...........................................20401 449 Authority citation revised.....................................18735 449.3 Form G-FIN-4 amended.........................................18736 449.5 Form G-405 amended...........................................18734 450.4 OMB number...................................................11026 1996 17 CFR 61 FR Page Chapter I 1 Fee schedules....................................................19830 Clarification..................................................50431 1.12 (b)(2) amended; (b)(3) redesignated as (b)(4); new (b)(3), (f)(4) and (5) added; (g) introductory text, (1) and (2) revised....................................................19185 1.17 (e)(1)(ii), (h)(2)(vi)(C)(2), (vii)(A)(2), (B)(2), (viii)(A)(2) and (3)(ii)(B) amended; (e)(1)(iii), (h)(2)(vi)(C)(3), (vii)(A)(3), (B)(3), (viii)(A)(3), (3)(ii)(C), (v)(C) and (D) redesignated as (e)(1)(iv), (h)(2)(vi)(C)(4), (vii)(A)(4), (B)(4), (viii)(A)(4), (B)(4), (viii)(A)(4), (3)(ii)(D), (v)(D) and (E); (a)(1), (c)(5)(xiii), new (h)(2)(vii)(A)(4) and new (B)(4) revised; new (e)(1)(iii), (h)(2)(vi)(C)(3), (vii)(A)(3), (C), (viii)(3), (3)(ii)(C) and (v)(C) added................19186 1.35 (d)(7) revised................................................43001 1.58 Revised.......................................................19187 3 Technical correction.............................................26253 3.34 (b)(3)(ii) removed; (b)(3)(iii) introductory text and (A)(3) revised....................................................20131 3 Appendix A amended...............................................58628 4 Interpretation...................................................42146 Comment period extension.......................................54731 Technical correction...........................................56271 Interpretation.................................................65940 5 Fee schedules....................................................19830 10.84 (b) amended..................................................21954 10.102 (e)(2) amended..............................................21954 11.2 (b) amended....................................................1709 [[Page 39]] 11.7 (a) amended....................................................1709 11 Appendix A amended...............................................1709 17.01 Revised; eff. 8-20-96.........................................6312 17.02 Introductory text and (b) revised; (c) added; eff. 8-20-96 6313 30.3 (a) revised...................................................10895 30 Appendix B amended.........................................1710, 2718 Appendix C amended.............................................64989 31 Fee schedules...................................................19830 33.4 (b)(6) removed.................................................2720 140.20 (a) amended.................................................21955 140.24 (a)(6) amended..............................................21955 140.72 (a) amended..................................................1709 140.73 Heading revised; (a) introductory text and (3) amended.......1709 140.735-8 (a)(3), (c)(2), (e) and (f) amended......................21955 143 Authority citation revised.....................................55566 143.1 Revised......................................................55566 143.8 Added........................................................55566 156.4 Added........................................................41498 Chapter II 200.30-4 (a)(11) added.............................................20721 200.30-5 (a)(8)(ii)(B) amended.....................................49011 200.30-7 (a)(3) corrected..........................................15338 200.30-7 (a)(9) and (10) amended; (a)(11) added.....................5939 (a)(3) and (4) corrected.......................................13689 200.30-7 Corrected..................................................1533 200.30-14 (k) added................................................56892 200.80 (c)(3) added................................................24654 201 Technical correction...........................................59930 201.1001 (Subpart E) Added.........................................57774 202.3a Introductory text amended...................................49959 210.3-16 Removed...................................................30401 210.4-05 Removed...................................................30401 210.4-06 Removed...................................................30401 210.4-10 (b) revised; (c) through (h) removed; (i) and (j) redesignated as (c) and (d)................................30401 210.03-05 (a)(3) and (b) revised...................................54514 210.11-01 (b) and (c) revised......................................54514 211 Staff Accounting Bulletin No. 96 added.........................12020 211 Staff Accounting Bulletin No. 97 added.........................40721 228.310 (c) and (d)(1) revised; (d)(2) removed; (d)(3) redesignated as (d)(2).....................................54515 228.405 (a) amended; (a)(1) and (2) revised........................30391 228.502 (a)(2) revised.............................................24654 228.601 (c)(1)(vi) Note 1 and Note 2 amended.......................24654 Table amended; (b)(7), (14) and (28) removed...................30401 228.701 (e) added..................................................54508 229.405 (a)(1) and (2) revised.....................................30391 229.501 (b) removed; (c) redesignated as (b); new (b)(8) amended 30401 229.502 (a)(2) revised.............................................24654 229.601 (c)(1)(vi) Note 1 and Note 2 amended.......................24654 Table amended; (b)(6), (7), (14) and (28) removed..............30401 229.701 (e) added..................................................54508 229.801 (a) removed................................................30401 229.802 (a) removed................................................30401 230.111 (a) amended................................................49959 230.120 Revised....................................................24654 230.134 (e) added; eff. 6-3-96.....................................13975 230.144 (a)(3)(iv) amended; (a)(3)(v) added........................21359 230.148 Removed....................................................30401 230.236 (a) and (c)(4) amended.....................................49959 230.252 (h)(2) revised.............................................30401 (f) removed....................................................49959 (e) revised; (h)(1) amended....................................67202 230.253 (b) redesignated as (b)(1); (b)(2) added...................24654 230.254 (b)(1) amended.............................................67202 230.255 (a)(1) amended.............................................67202 230.256 Introductory text amended..................................67202 230.257 Introductory text amended..................................67202 230.259 (a) amended................................................67202 230.300--230.346 Undesignated center heading removed...............30402 230.300 Removed....................................................30402 230.302 Removed....................................................30402 230.304 Removed....................................................30402 230.306 Removed....................................................30402 230.310 Removed....................................................30402 230.312 Removed....................................................30402 230.314 Removed....................................................30402 230.316 Removed....................................................30402 230.318 Removed....................................................30402 230.320 Removed....................................................30402 230.322 Removed....................................................30402 230.324 Removed....................................................30402 230.326 Removed....................................................30402 230.328 Removed....................................................30402 230.330 Removed....................................................30402 230.332 Removed....................................................30402 230.334 Removed....................................................30402 230.336 Removed....................................................30402 230.338 Removed....................................................30402 230.340 Removed....................................................30402 [[Page 40]] 230.342 Removed....................................................30402 230.344 Removed....................................................30402 230.346 Removed....................................................30402 230.402 (a) and (c) amended; (e) revised...........................30402 230.406 Note redesignated as Note 1; Note 2 added; (a) amended; (j) removed................................................30402 230.420 Existing text designated as (a); (b) added.................24655 230.445--230.447 Undesignated center heading removed...............30402 230.445 Removed....................................................30402 230.446 Removed....................................................30402 230.447 Removed....................................................30402 230.464 Heading revised; introductory text and (b) amended.........30402 230.471 Existing text designated as (a); (b) added.................30402 230.472 (b) amended................................................30402 230.473 (c) and (d) amended........................................30402 230.481 (h) added..................................................24655 230.482 (a)(6) note added; (a)(7) note removed.....................24655 230.504 (b)(1) revised.............................................30402 230.604 (a) amended................................................49959 230.605 (c) redesignated as (c)(1); (c)(2) added...................24655 230.651 Undesignated center heading and section removed............30402 230.652 Removed....................................................30402 230.653 Removed....................................................30402 230.654 Removed....................................................30402 230.655 Removed....................................................30402 230.656 Removed....................................................30402 230.702(T) Removed.................................................30402 230.703(T) Removed.................................................30402 230.902 (a)(1) amended.............................................30402 230.1001 Undesignated center heading and section added.............21359 231 Interpretive releases..........................................24651 232.101 (c)(7) removed; (c)(8) through (20) redesignated as (c)(7) through (19); eff. 5-5-97..................................67202 232.301 Revised....................................................52284 232.304 Heading, (a), (b)(1) and (c) revised.......................24655 232.311 (c) removed; (d) through (i) redesignated as (c) through (h)........................................................30402 239.9 Form SB-1 amended............................................67202 239.10 Form SB-2 amended...........................................67202 239.11b Form N-3 amended; eff. 6-3-96..............................13984 239.14 Form N-2 amended.....................................24658, 49961 239.15A Form N-1A amended; eff. 6-3-96.............................13983 239.15A Form N-1A amended.....................24657, 49016, 49017, 49961 239.17a Form N-3 amended; eff. 6-3-96.......................13983, 13984 239.17a Form N-3 amended....................................24658, 49961 239.17b Form N-4 amended....................................24658, 49961 239.23 Form N-14 amended...........................................49011 239.25 Form S-4 amended............................................54516 239.34 Form F-4 amended............................................54516 239.36 Form F-6 amended............................................30403 239.37 Form F-7 amended.....................................24655, 30403 239.38 Form F-8 amended.....................................24655, 30403 239.39 Form F-9 amended.....................................24656, 30403 239.40 Form F-10 amended....................................24656, 30403 239.41 Form F-80 amended....................................24656, 30403 239.90 Form 1-A amended............................................67203 239.91 Form 2-A amended............................................67203 239.101 Removed....................................................30403 239.300 Removed....................................................30403 239.701 Removed....................................................30403 240 Phase-in period extension......................................30396 Authority citation amended.....................................48328 Revised compliance dates.......................................63709 240.0-9 Revised....................................................49959 240.0-11 (c)(1)(ii) revised........................................49959 240.3a12-8 (a)(1)(xv) and (xvi) amended; (a)(1)(xvii), (xviii) and (xix) added................................................10274 240.11Aa3-1 (a)(4) revised.........................................48328 240.11Ac1-1 Revised................................................48328 240.11Ac1-4 Added..................................................48331 240.12b-7 Removed..................................................49959 240.12b-11 (b) amended; (d) revised................................30403 240.12b-12 (e)(3) amended..........................................24656 240.12g-1 Amended..................................................21356 240.12g-4 (a)(1)(ii) and (2)(ii) amended...........................21356 240.12h-3 (b)(1)(ii) and (2)(ii) amended...........................21356 240.13a-1 Amended..................................................49959 240.13a-13 Heading and (c) revised.................................30403 240.13a-17 Removed.................................................30403 240.13d-7 Removed..................................................49959 240.13d-101 Amended................................................49959 240.13d-102 Amended................................................49959 240.13e-3 (e)(3) amended...........................................24656 240.13e-4 (e)(1)(ii)(A) revised....................................24656 (h)(5) revised.................................................68589 240.13e-102 Amended................................................24656 240.14a-3 (b)(2) redesignated as (b)(2)(i); (b)(2)(ii) added.......24656 [[Page 41]] 240.14a-5 (d) redesignated as (d)(1); (d)(2) added.................24656 240.14a-6 (i) revised..............................................49960 240.14a-7 Note added...............................................24657 240.14a-101 Amended................................................49960 240.14c-4 (d) added................................................24657 240.14c-5 (g) revised..............................................49960 240.14c-7 (c) revised..............................................24657 240.14c-101 Amended................................................49960 240.14d-1 (d) revised..............................................30403 240.14d-5 Authority citation removed...............................24656 Note added.....................................................24657 240.14d-102 Amended................................................24657 240.14d-103 Amended................................................24657 240.15d-1 Amended..................................................49960 240.15d-13 Heading and (c) revised.................................30403 240.15d-17 Removed.................................................30404 240.16a-1 (a)(3) and (c)(3) revised; (c)(5) and (6) amended; (c)(7) added...............................................30391 240.16a-2 (b) and (d)(2) revised...................................30392 240.16a-3 (f)(1)(i) and (g) revised; (f)(1)(ii) and (iii) redesignated as (f)(1)(iii) and (iv); new (f)(1)(ii) and (j) added..................................................30392 (i) revised....................................................30404 240.16a-4 (b), (c) and (d) revised.................................30392 240.16a-6 (a) revised; (c) removed.................................30392 240.16a-8 (a)(1) revised; (b)(3) note added........................30392 240.16a-9 (a) revised..............................................30393 240.16a-11 Added...................................................30393 240.16a-12 Added...................................................30393 240.16a-13 Added...................................................30393 240.16b-1 (c) removed..............................................30404 240.16b-2 Removed..................................................30393 240.16b-3 Revised..................................................30393 240.16b-4 Removed..................................................30404 240.16b-6 (b) note added...........................................30394 240.24b-2 Note added; (g) removed..................................30404 240.31-1 Note and (f) revised; eff. 1-1-97; revised; eff. 9-1-97; note revised; eff. 10-1-97.................................68594 241 Interpretive releases..........................................24651 249.103 Form 3 amended.............................................30394 249.104 Form 4 amended.............................................30394 249.105 Form 5 amended.............................................30395 249.240f Form 40-F amended.........................................49960 249.308 Form 8-K amended....................................54508, 54516 249.308a Form 10-Q amended.........................................54509 249.308b Form 10-QSB amended.......................................54509 249.310 Form 10-K amended...................................30404, 54509 249.310b Form 10-KSB amended.......................................54509 249.310c Removed...................................................30404 249.323 (a) amended................................................21356 249.330 Form N-SAR amended.........................................49961 249.501 Form BD revised............................................37361 Regulation at 61 FR 37361 compliance date suspended............47412 250.1 (d) removed..................................................49961 250.94 (b) removed.................................................49961 250.106 Removed....................................................49961 250.107 Removed....................................................49961 259.404 Form U-7D amended..........................................49961 270 Authority citation amended.....................................13976 270 Compliance date suspension.....................................42786 270.0-5 (d) removed................................................49961 270.0-8 Revised....................................................49961 270.2a-7 Revised; eff. 6-3-96......................................13976 270.2a41-1 (a) introductory text revised; eff. 6-3-96..............13982 270.6c-10 Revised..................................................49016 270.8b-6 Removed...................................................49961 270.8b-12 (f) added; authority citation removed....................24657 270.11a-3 (a)(3) revised...........................................49016 270.12b-1 (b)(1) revised...........................................49011 270.12d3-1 (d)(7)(v) revised; eff. 6-3-96..........................13982 270.12d3-1 Regulation at 61 FR 13982 compliance date suspended.....42786 270.17a-9 Added; eff. 6-3-96.......................................13983 270.17f-6 Added....................................................66212 270.24e-2 (a) revised..............................................68595 270.24f-2 (a)(3) removed; (a)(4) redesignated as (a)(3); new (a)(3) revised.............................................49961 270.30a-1 Amended..................................................49961 270.30b1-1 Amended.................................................49961 270.30b1-3 Amended.................................................49961 270.30d-1 (c), (d)(2) and (e) amended..............................24657 270.30d-2 Amended..................................................24657 270.31a-1 (b)(1) amended; eff. 6-3-96..............................13983 270.31a-1 Compliance date suspension...............................42786 271 Interpretive releases..........................................24651 274.11A Form N-1A amended; eff. 6-3-96......................13983, 13984 274.11A Form N-1A amended.....................24657, 49016, 49017, 49961 [[Page 42]] 274.11a-1 Form N-2 amended..................................24658, 49961 274.11b Form N-3 amended; eff. 6-3-96.......................13983, 13984 274.11b Form N-3 amended....................................24658, 49961 274.11c Form N-4 amended....................................24658, 49961 274.101 Form N-SAR amended; eff. 6-3-96.....................13983, 13984 274.101 Form N-SAR amended.........................................49961 275.0-5 (d) removed; (e) redesignated as (d).......................49962 275.203-3 Removed..................................................49962 275.204-1 (c) stayed...............................................68173 276 Interpretive releases..........................................24651 279.3 Stayed.......................................................68173 Chapter IV 400 Authority citation revised.....................................48348 400.1 (e) added....................................................48348 420 Added..........................................................48348 420.4 (a)(3) corrected.............................................52498 420.5 Corrected.............................................52498, 53996 420 Appendix B corrected...........................................52498 1997 17 CFR 62 FR Page 1 Advisory.....................................7675, 31507, 32859, 34165 Interpretation.................................................25470 Fee schedules..................................................26384 1.10 (a)(2)(i)(A), (B), (ii)(A), (B), (3)(i), (ii)(A), (b)(1), (2)(i), (ii)(A), (c), (d)(2)(v), (3) (f) heading, (1), (g)(5), (j)(8)(i)(B) and (ii)(B) revised; (d)(2)(vi) redesignated as (d)(2)(vii); new (d)(2)(vi) added; (g)(3) and (i) removed; eff. 6-30-97...............................4639 (b)(2)(iii) added; (c), (d)(4), (g)(1) and (2) revised; eff. 4-7-97.............................................................10444 (c) amended....................................................33007 1.12 (b)(4) revised.................................................4640 1.17 (d) introductory text revised; (d)(3) removed; eff. 6-30-97 4641 1.18 (a) and (b) revised; eff. 6-30-97..............................4641 1.23 Revised.......................................................42400 1.25 Revised.......................................................42400 1.27 (a)(4) and (b)(2) revised.....................................42401 1.31 (c)(1)(iii) and (3) revised...................................24031 1.41 (c) revised; eff. 4-7-97......................................10433 (b) introductory text, (1) through (5) and concluding text redesignated as (b)(1)(i) introductory text, (A) through (E) and (ii); new (b)(1)(i) amended; new (b)(1)(ii) revised; new (b)(2), new (3) and new (4) added; eff. 4-7-97.............................10439 1.41a (a)(2) and (3) revised.......................................17701 1.41b (b) revised; eff. 4-7-97.....................................10439 1.52 (a) revised; eff. 6-30-97......................................4641 3 Authority citation revised........................................4641 3.33 (c)(1) revised; eff. 6-30-97...................................4642 4.1 (c) and (d) added..............................................39115 4.2 (a) revised....................................................18268 4.21 (b) revised...................................................39115 4.26 (d) revised...................................................18268 4.31 (b) revised...................................................39115 4.36 (d) revised...................................................18268 5 Authority citation revised.......................................10440 Fee schedules..................................................26384 5.1 Added; eff. 4-7-97.............................................10440 5 Appendix D amended; eff. 4-7-97..................................10441 11 Authority citation revised......................................17702 11.1 Revised.......................................................17702 11.2 (a) revised...................................................17702 12 Advisory........................................................43930 Technical correction...........................................45702 15.00 (b)(1)(ii) revised; eff. 4-14-97..............................6113 (b) and (l) revised............................................24031 (l) correctly designated.......................................27659 15.01 (d) revised; eff. 4-14-97.....................................6113 (d)(1) corrected; eff. 4-14-97.................................13301 15.03 Revised......................................................61227 Table corrected................................................65203 16.00 (a)(5) revised...............................................24031 16.01 Heading and (d) revised; (a)(5) and (6) removed; (a)(7) and (c) redesignated as (a)(5) and (b)(3); new (c) added.......24032 16.06 Revised......................................................24032 16.07 Revised......................................................24032 17.00 (a), (d), (e) and (g) revised................................24032 17.02 (a) revised..................................................24033 17.03 Revised......................................................24034 17.04 (a) and (b) introductory text revised........................24034 18.03 Added; eff. 4-14-97...........................................6114 18.04 Introductory text revised; (d) removed; eff. 4-14-97..........6114 Corrected; eff. 4-14-97........................................13301 19.00 (a)(1) revised; eff. 4-14-97..................................6114 (a)(1) corrected...............................................13301 [[Page 43]] 30 Appendix C amended...................8877, 10447, 10449, 10450, 16690 31 Fee schedules...................................................26384 31.13 (m) revised; eff. 4-7-97.....................................10445 140.735-8 (b)(3) corrected.........................................13302 145 Authority citation revised.....................................17069 145.0 Revised......................................................17069 145.2 Revised......................................................17069 145.5 (d)(1)(i)(G) removed; eff. 6-30-97............................4642 145.7 Introductory text added; (a) revised.........................17069 147.3 (b)(4)(i)(A)(7) removed; eff. 6-30-97.........................4642 190 Appendix B amended.............................................31710 Chapter II 200.30-1 (m) removed...............................................36455 (b) and (g)(2) removed; (g)(3) redesignated as (g)(2); (c) through (l) redesignated as (b) through (k)........................47368 200.30-3 (a)(6) revised..............................................542 (a)(61) and (62) added..........................................1385 200.30-5 (j) removed; (k) and (l) redesignated as (j) and (k)......36455 200.30-6 (a), (b) and (c) removed; (d) through (h) redesignated as (a) through (e)............................................47368 202 Policy statement...............................................15604 Authority citation amended.....................................16079 202.3a Introductory text amended...................................47938 202.8 Added.........................................................4105 202.9 Added........................................................16079 210 Authority citation revised...............................6063, 12749 210.1-02 (d) revised; eff. 4-17-97.................................12749 210.4-08 (n) added; eff. 4-11-97....................................6063 228 Authority citation revised........................6064, 36455, 39761 Technical correction...........................................43581 228.10 (g) added; eff. 4-11-97......................................6064 (a)(1) amended.................................................26388 228.310 Note 2 amended; eff. 4-11-97................................6064 228.502 (d)(1) introductory text and (i) revised; (d)(2) amended 542 228.508(i) amended; (j) added........................................543 (j) corrected..................................................11323 228.601 (a) amended; (c)(1)(ii) note designated as (c)(1)(ii) Note 1; (c)(1)(ii) Note 2 and (2)(iii) note added; (c)(1)(v) revised....................................................36455 228.701 Heading revised; (f) added.................................39761 229 Authority citation revised......................................6064 Technical correction...........................................43581 229.305 Added; eff. 4-11-97.........................................6064 229.502 (d)(1) introductory text and (i) revised; (d)(2) amended 543 229.508 (k) amended; (l) added.......................................543 (l) corrected..................................................11323 229.601 (a) amended; (c)(1)(ii) note designated as (c)(1)(ii) Note 1; (c)(1)(ii) Note 2 and (2)(iii) note added; (c)(1)(v) revised....................................................36456 229.701 Heading revised; (f) added.................................39762 230 Authority citation amended.....................................24573 Technical correction...........................................43581 Authority citation corrected; CFR correction...................65019 230.135e Added.....................................................53954 230.144 (d)(1), (e)(3)(ii), (iii), (iv) and (k) revised; eff. 4- 29-97.......................................................9244 230.145 (d)(2) and (3) revised; eff. 4-29-97........................9245 230.146 Added......................................................24573 230.401 (c) revised................................................39762 230.404 (a) amended................................................39763 230.405 Amended.............................................26388, 36456 230.418 (a)(4) amended...............................................543 230.424 (d) amended................................................39763 230.461 (b)(7) amended...............................................543 230.462 (d) added..................................................39763 230.463 (a) and (b) revised........................................39763 230.482 (d) revised................................................64978 230.485 (b)(1)(i) and (ii) removed; (b)(1)(iii) through (ix) redesignated as (b)(1)(i) through (vii); (b)(2) introductory text and (d)(2)(ii)(B) and (ii) undesignated text amended...............................................47938 230.497 (f) amended................................................39763 230.502 (c)(2) amended.............................................53954 230.901--230.905 Preliminary Note 7 amended........................53954 230.902 (b)(8) added...............................................53954 232 Technical correction....................................16691, 43581 232.10 (b) note revised............................................36456 232.11 (e) and (m) revised.........................................36456 232.13 (a)(1)(iii) amended.........................................47938 232.14 Added.......................................................58649 232.100 Added......................................................36456 232.101 (a)(1)(ii), (iii), (iv), (2)(ii), (b)(1), (c)(6) and (7) revised; (c)(19) removed; (d) added........................36456 (c)(5) removed; (c)(6) through (18) redesignated as (c)(5) through (17).......................................................39763 [[Page 44]] 232.102 (d) amended................................................36457 232.201 (b) note designated as (b) Note 1; (b) Note 2 added........36457 232.202 (d) note designated as (d) Note 1; (d) Notes 2 and 3 added 36457 232.301 Revised.....................................................8878 Technical correction...........................................16691 Corrected......................................................13821 Revised........................................................41842 232.303 (a)(2) and (b) revised.....................................36457 232.304 (b)(2) and (d) revised.....................................36458 232.307 Revised....................................................36458 232.311 (i) added..................................................36458 232.601 Undesignated center heading and section added..............36458 232.901--232.903 Undesignated center heading removed...............36458 232.901 Removed....................................................36458 232.902 Removed....................................................36458 232.903 Removed....................................................36458 239 Authority citation amended......................................6070 239.9 Form SB-1 amended............................................39763 239.10 Form SB-2 amended...........................................39763 239.11 Form S-1 amended; eff. 4-11-97...............................6070 Form S-1 amended...............................................39764 239.12 Form S-2 amended; eff. 4-11-97...............................6070 Form S-2 amended........................................36458, 39764 239.13 (b)(1) and Form S-3 amended.................................26388 Form S-3 amended........................................36458, 39764 239.15A Form N-1A amended...................................47939, 64986 239.16 Form S-6 amended............................................47938 239.16b Form S-8 amended...........................................36458 239.17a Form N-3 amended....................................47939, 64986 239.17b Form N-4 amended......................47939, 47940, 64986, 64987 239.18 Form S-11 amended; eff. 4-11-97..............................6071 Form S-11 amended..............................................39764 239.23 Form N-14 amended...........................................47938 239.25 Form S-4 amended; eff. 4-11-97...............................6071 Form S-4 amended...............................................39764 239.31 Form F-1 amended............................................39765 239.32 (b)(2)(i) and Form F-2 amended..............................26388 Form F-2 amended........................................36459, 39765 239.33 (b)(1) and Form F-3 amended.................................26388 Form F-3 amended...............................................36459 239.34 Form F-4 amended; eff. 4-11-97...............................6071 Form F-4 amended...............................................39766 Form F-4 corrected.............................................43581 239.37 Form F-7 corrected..........................................11323 239.38 Form F-8 corrected..........................................11323 239.39 Form F-9 corrected..........................................11323 239.40 Form F-10 corrected.........................................11323 239.61 Removed; Form SR removed....................................39766 239.144 (c) and Form 144 amended...................................35340 239.500 Form D amended.............................................39766 240 Compliance dates...............................................18514 Technical correction....................................43581, 45289 240 Authority citation amended...................543, 6071, 12749, 35340 Revised compliance dates.................................6468, 40732 240.0-1 (a)(5) revised.............................................36459 240.10a-1 (e)(5) introductory text, (6), (10) and (11) amended.......543 240.10b-6 Removed....................................................543 240.10b-6A Removed...................................................543 240.10b-7 Removed....................................................543 240.10b-8 Removed....................................................543 240.10b-18 (a)(3)(i) through (vi) redesignated as (a)(3)(ii) through (vii); (a)(3)(i) added; (a)(5) and (6) revised.......543 (a)(3)(i) corrected............................................11323 240.10b-21 Removed...................................................543 240.10A-1 Undesignated center heading and section added; eff. 4- 17-97......................................................12749 240.11a-1 (b)(3) amended.............................................544 240.11Aa3-1 Regulation at 61 FR 48328 eff. date delayed to 1-13-97 1280 240.11Ac1-1 Regulation at 61 FR 48328 eff. date delayed in part to 4-10-97.....................................................1280 Regulation at 61 FR 48328 eff. date delayed in part to 1-20-97 1385 240.11Ac1-4 Regulation at 61 FR 48331 eff. date delayed to 1-13-97 1280 Regulation at 61 FR 48331 eff. date delayed to 1-20-97..........1385 240.12a-8 Added....................................................39766 240.12b-2 Amended..................................................26389 240.12d1-1--240.12d2-2 Undesignated center heading revised.........39766 240.12d1-2 (b) revised; (c) added..................................39766 240.12g-3 Revised..................................................39767 240.13a-1 Revised..................................................39767 240.13a-2 Removed..................................................39768 [[Page 45]] 240.13d-2 (c) revised..............................................36459 240.13d-101 Amended................................................35340 240.13d-102 Amended................................................35340 240.13e-4 (h)(5)(i) amended..........................................544 (h)(5)(i) corrected............................................11323 (f)(12) amended................................................36459 240.13e-102 Amended..................................................544 240.14a-3 (b)(5)(iii) added; eff. 4-11-97...........................6071 240.14a-101 Amended; eff. 4-11-97...................................6071 Amended........................................................36459 240.14d-1 (c) and (d) redesignated as (e) and (f); new (c) and new (d) added..................................................53955 240.14d-100 Amended................................................35341 240.14d-102 Amended..................................................544 240.14e-1 (e) revised..............................................36459 240.15c3-1 (a)(7) removed; (c)(2)(x) revised; eff. 9-1-97...........6480 240.15c3-1a Revised; eff. 9-1-97....................................6481 240.15d-3 Revised..................................................39768 240.15d-5 (a) revised..............................................39768 240.17a-2 (a), (b) introductory text, (1), (c) introductory text, (1) and (d) revised..........................................544 240.17a-4 (f) revised; eff. 4-14-97.................................6473 240.17a-5 (g)(1) correctly revised; CFR correction.................42664 240.17a-24 Added...................................................52236 240.17Ad-7 (i) added...............................................52237 240.17Ad-17 Added..................................................52237 242 Added............................................................544 242.100 Corrected..................................................11323 242.102 (b)(7)(ii) corrected.......................................11323 242.104 Regulation at 62 FR 548 eff. date corrected in part to 4- 1-97.......................................................11321 (f)(2)(i) and (j)(2)(ii) corrected.............................11323 (f)(2)(i) corrected............................................13213 249 Technical correction...........................................43581 249.103 Amended....................................................35341 249.104 Amended....................................................35341 249.105 Amended....................................................35341 249.208a (c) revised; (d) added; Form 8-A amended..................39768 249.208b Removed; Form 8-B removed.................................39769 249.210 Form 10 amended; eff. 4-11-97...............................6072 249.210 Form F-10 amended..........................................39769 249.220f Form 20-F amended; eff. 4-11-97............................6072 249.220f Form 20-F amended.........................................39769 249.308a Form 10-Q amended; eff. 4-11-97............................6078 249.308a Form 10-Q amended.........................................39769 249.308b Form 10-QSB amended.......................................39770 249.310 Form 10-K amended; eff. 4-11-97.............................6079 249.310 Form 10-K amended...................................26389, 39770 249.310b Form 10-KSB amended................................26389, 39770 249.1100 Form MSD amended..........................................35341 249b.100 Form TA-1 amended.........................................35341 249b.102 Form TA-2 amended.........................................52237 250.45 (b)(4) revised...............................................7915 250.52 (b) revised..................................................7915 250.58 Added........................................................7916 259.208 Added.......................................................7917 260.0-2 (g) revised................................................36459 269.2 Amended; Form T-2 amended....................................35342 270 Authority citation amended..............................47938, 64978 270.2a-7 Revised...................................................64978 270.2a41-1 (a) introductory text revised...........................64985 270.2a51-1 Added...................................................17526 270.2a51-2 Added...................................................17528 270.2a51-3 Added...................................................17528 270.3a-4 Added.....................................................15109 270.3c-1 Added.....................................................17529 270.3c-5 Added.....................................................17529 270.3c-6 Added.....................................................17529 270.10f-3 Revised..................................................42408 270.12b-1 (g) revised..............................................51765 270.12d3-1 (d)(7)(v) revised.......................................64986 270.17a-9 Introductory text amended................................64986 270.17f-5 Revised..................................................26932 270.18f-3 (c) and (e)(2)(iii) revised..............................51765 270.24e-1 Amended..................................................47938 270.24e-2 Removed..................................................47938 270.24f-1 Removed..................................................47938 270.24f-2 Revised..................................................47938 270.31a-1 (b)(1) amended...........................................64986 270.34b-1 (b) revised..............................................64986 274.11A Form N-1A amended...................................47939, 64986 274.11b Form N-3 amended....................................47939, 64986 274.11c Form N-4 amended.............................47939, 47940, 64987 274.24 Revised.....................................................47940 Form 24F-2 amended.............................................64688 275 Authority citation revised.....................................28132 275.203(b)(3)-1 Revised............................................28132 275.203A-1 Added...................................................28133 275.203A-2 Added...................................................28133 [[Page 46]] 275.203A-3 Added...................................................28134 275.203A-4 Added...................................................28134 275.203A-5 Added...................................................28134 275.204-1 Revised..................................................28135 275.204-2 (a) introductory text revised; (k) added.................28135 275.205-3 Heading and (a) revised..................................28135 275.206(3)-2 (a) introductory text revised.........................28135 275.206(4)-1 (a) introductory text revised.........................28135 275.206(4)-2 (a) introductory text revised.........................28135 275.206(4)-3 (a)(1)(ii)(C) amended.................................28135 275.206(4)-4 (a) introductory text revised.........................28135 275.222-1 Added....................................................28135 275.222-2 Added....................................................28136 279.1 Form ADV amended.............................................28136 (d) corrected..................................................33008 279.3 Revised......................................................28136 300.300 (a) and (c) amended; eff. 4-7-97...........................10451 300.301 (a)(2)(i) amended; eff. 4-7-97.............................10451 Chapter IV 404.4 (a)(1) revised; eff. 4-30-97..................................7155 1998 17 CFR 63 FR Page Chapter I 1 Fee schedules....................................................11368 Technical correction...........................................51124 1.3 (gg)(2)(iv) revised............................................32730 1.12 (b)(2) revised................................................32731 (a)(1) and (e) revised; (h)(1) and (2) redesignated as (i)(1) and (2); (b)(4), (c), (d), (f)(1) through (5), (g)(2) and new (i)(2) amended; new (h) added......................................45715 1.17 (c)(5)(iii) removed...........................................32726 (a)(1)(i)(B), (e)(1)(ii), (h)(2)(vi)(C)(2), (vii)(A)(2), (B)(2), (viii)(A)(2), (3)(ii)(B) and (v)(B) revised................32731 1.35 (a-1) (1), (2)(i) and (4) revised; (a-1)(5) added.............45709 (a-1)(5)(i)(D), (ii)(H) and (I) corrected......................49955 1.41 (k)(1) revised................................................33848 1.55 (a)(1) revised; (a)(1)(iii) removed; (f) redesignated as (g); new (f) added; eff. 4-21-98.................................8570 (a)(1) revised.................................................52157 1.65 (a)(3)(ii) redesignated as (a)(3)(iii); new (a)(3)(ii) added; eff. 4-21-98................................................8571 3.13 Added; interim................................................18830 3.14 Added; interim................................................18831 4.24 (j)(1)(v) amended; CFR correction.............................24390 (j)(1)(v) corrected; CFR correction............................24390 (v)(3) introductory text revised; eff. 4-30-99.................58303 4.25 (c)(5) introductory text revised; eff. 4-30-99................58303 5 Fee schedules....................................................11368 10 Technical correction............................................68829 10.1 (d) amended; (e) through (h) redesignated as (f) through (i); new (e) added..............................................55791 10.9 (b) revised...................................................55791 10.12 (a)(2) revised...............................................55791 10.21 Revised......................................................55791 Corrected......................................................68829 10.22 (b) introductory text amended; (b)(1) and (2) added..........55791 10.24 (a), (b) and (c) revised.....................................55791 10.26 (b) amended..................................................55791 10.41 (f) and (g) redesignated as (g) and (h); new (f) added.......55791 10.42 (b) and (c) redesignated as (c) and (e); (a), new (c) and new (e)(1) revised; new (b), (d) and (f) added.............55792 (b)(7) and (c)(1)(iii) corrected...............................68829 10.66 (b) revised..................................................55793 (b) corrected..................................................68829 10.68 (a)(1), (2), (b)(3), (c) heading and (1) revised; (c)(2), (e)(1) and (f) amended.....................................55794 (c)(2) heading and (f) corrected...............................68829 10.84 (b) revised..................................................55794 Heading corrected..............................................68829 10.101 (b)(1) revised..............................................55794 10.102 (b)(3) redesignated as (b)(4); (a), new (b)(4) and (d)(2) revised; new (b)(3) and (5) added; (e)(1) and (2) amended 55794 (e) correctly designated.......................................58811 (a)(1), (2) and (b)(3) corrected...............................68829 [[Page 47]] 10.106 Heading revised; existing text designated as (a); (a) heading, (b) and (c) added.................................55795 (c) corrected..................................................68829 10.110--10.113 (Subpart I) Added...................................55795 Correctly designated...........................................58811 10.111 Heading corrected...........................................68829 10 Appendix A added................................................55796 Appendix A corrected...........................................68829 11.1 Correctly revised..............................................5233 11.2 (a) correctly revised..........................................5233 30.6 (a) revised; eff. 4-21-98......................................8571 31 Fee schedules...................................................11368 32.2 Revised; interim..............................................18832 32.13 Added; interim...............................................18832 33.4 Introductory text amended; interim............................18834 (a)(2) removed.................................................32732 33.7 (a)(1) introductory text revised; eff. 4-21-98.................8571 (b) amended....................................................32732 140.99 Added.......................................................68181 140.735-4 (b)(3) and (c)(5) introductory text revised..............32733 190.10 (c)(1) revised; eff. 4-21-98.................................8571 Chapter II 200 Authority citation amended......................................8101 200.30-3 (a)(63) added..............................................8101 200.30-3 (a)(7)(iv) amended; (a)(7)(v), (64), (65) and (66) added..............................................................59394 201.102 (e)(1)(iv) added...........................................57172 201.210 (a)(1) and (c) introductory text revised; (c)(3) added.....63405 201.221 Heading, (a) and (d) revised...............................63405 202.3 (b) revised; eff. 4-21-99....................................70916 210 Policy statement................................................9135 211 Staff Accounting Bulletin No. 98 added..........................6474 Policy statement................................................9135 228.101 (c) and (d) added; eff. 10-1-98.............................6379 228.501 Revised; eff. 10-1-98.......................................6379 228.502 Revised; eff. 10-1-98.......................................6380 228.503 Revised; eff. 10-1-98.......................................6380 228.508 (a) amended; (j) revised; eff. 10-1-98......................6380 229.101 (e), (f) and (g) added; eff. 10-1-98........................6381 229.501 Revised; eff. 10-1-98.......................................6381 229.502 Revised; eff. 10-1-98.......................................6383 229.503 Revised; eff. 10-1-98.......................................6383 229.508 (e) and (l) revised; eff. 10-1-98...........................6384 230 Authority citation amended........................6384, 13943, 13984 230.144 (a)(3) and (e)(3)(vii) revised; eff. 4-27-98................9642 230.146 Heading revised; introductory text, (a) and (b) redesignated as (a) introductory text, (1) and (2); (b) added.......................................................3035 230.157 Heading and (b) revised....................................35514 230.421 (b) revised; (d) added; eff. 10-1-98........................6384 230.431 (a) introductory text revised; eff. 6-1-98.................13984 230.461 (b)(1) revised; eff. 10-1-98................................6385 230.480 Note amended; eff. 6-1-98..................................13943 230.481 Revised; eff. 10-1-98.......................................6385 230.482 (a) introductory text, (3), (5) and (7) revised; (d)(1)(ii) amended; (d)(1)(iii) added; eff. 6-1-98.........13984 230.483 Form N-1A amended; eff. 6-1-98.............................13943 230.485 (b) introductory text and (1)(iv) amended; eff. 6-1-98.....13943 230.495 (a) amended; eff. 6-1-98...................................13943 230.497 (d) and (e) amended; eff. 6-1-98...........................13943 (a) revised; (k) added; eff. 6-1-98............................13984 (k)(2)(ii) corrected...........................................19286 230.498 Added; eff. 6-1-98.........................................13985 (b) and (c)(3) corrected.......................................19286 230.901--230.905 Preliminary Note 5 amended; eff. 4-27-98...........9642 230.902 Revised; eff. 4-27-98.......................................9642 230.903 Revised; eff. 4-27-98.......................................9645 230.904 Revised; eff. 4-27-98.......................................9646 230.905 Added; eff. 4-27-98.........................................9647 231 Interpretation.................................................14806 Interpretive releases..........................................41404 232.301 Revised.....................................................3463 Revised........................................................29105 232.304 (d) amended; eff. 6-1-98...................................13944 239 Authority citation amended.....................................13944 239.12 Form S-2 amended; eff. 10-1-98...............................6386 239.13 Form S-3 amended; eff. 10-1-98...............................6386 239.15A Form N-1A revised; eff. 6-1-98.............................13944 [[Page 48]] Form N-1A corrected; OMB number................................14814 Form N-1A corrected............................................19286 239.20 Form S-20 amended; eff. 10-1-98..............................6386 239.23 Form N-14 amended; eff. 6-1-98..............................13944 239.25 Form S-4 amended; eff. 10-1-98...............................6386 239.32 Form F-2 amended; eff. 10-1-98...............................6387 239.33 Form F-3 amended; eff. 10-1-98...............................6387 239.34 Form F-4 amended.............................................6387 240 Authority citation amended...............................8102, 13944 240.0-10 Heading, (a), (b), (e), (g)(2), (3) and (i) revised; (h)(2) and (3) redesignated as (h)(3) and (4); (h)(2), (j) and (k) added..............................................35514 240.0-12 Added......................................................8102 240.3a1-1 Added; eff. 4-21-99......................................70917 240.3b-12 Added....................................................59394 240.3b-13 Added....................................................59395 240.3b-14 Added....................................................59395 240.3b-15 Added....................................................59395 240.3b-16 Added; eff. 4-21-99......................................70918 240.6a-1 Heading, (a) and (b) revised; eff. 4-21-99................70918 240.6a-2 Revised; eff. 4-21-99.....................................70918 240.6a-3 Revised; eff. 4-21-99.....................................70919 240.8c-1 (b)(1) revised............................................59395 240.11a1-6 Added...................................................59396 240.11Ac1-1 (c)(5)(ii)(A), (B) introductory text, (1) and (2) redesignated as (c)(5)(ii)(A)(1), (2) introductory text, (i) and (ii); new (c)(5)(ii)(A)(2)(ii) amended; new (c)(5)(ii)(B) added; eff. 4-21-99..........................70919 240.13d-1 (b)(3) and (4) removed; (c) through (f) redesignated as (d), (i), (j) and (k); (a), (b)(1) introductory text, (ii), (2) and new (d) revised; new (c) and new (e) through (h) added...................................................2865 (d) corrected..................................................15287 240.13d-2 (a), (b) and note revised; (c) redesignated as (e); new (c) and (d) added...........................................2866 240.13d-3 (d)(1)(ii) revised........................................2867 240.13d-7 Added.....................................................2867 240.13d-101 Amended.................................................2867 Corrected......................................................15287 240.13d-102 Amended; heading revised................................2867 Corrected......................................................15287 240.14a-4 (c) introductory text and (1) revised; (c)(2) through (5) redesignated as (c)(4) through (7); new (c)(2) and (3) added......................................................29118 (c)(2)(iii) corrected..........................................50622 240.14a-5 (e) revised; (f) added...................................29118 (d) corrected..................................................46881 240.14a-8 Revised..................................................29119 (c), (h)(2), (i)(2) note, (5) and (9) corrected................50622 (m)(2) corrected...............................................50623 240.14a-101 (a)(1)(i) and (3)(iv) amended; eff. 6-1-98.............13944 240.15a-1 Added....................................................59396 240.15b1-1 (a) revised.............................................59397 240.15b9-2 Added...................................................59397 240.15c2-1 (b)(1) revised..........................................59397 240.15c2-5 (d) added...............................................59397 240.15c3-1 (a) introductory text amended; (a)(5) and (c)(15) added 59397 240.15c3-1f Added..................................................59398 240.15c3-3 (a)(1) revised; (h) amended.............................59400 240.15c3-4 Added...................................................59400 240.16a-1 (a)(1)(i) through (vii) revised; (a)(1)(viii) redesignated as (a)(1)(xi); new (a)(1)(viii), (ix) and (x) added.......................................................2868 240.17a-3 (a)(4)(vi) and (10) amended..............................59401 240.17a-3 (a)(16) added; eff. 4-21-99..............................70919 240.17a-4 (b)(8) introductory text and (xv) amended; (b)(10) added 59401 (b)(1) revised; (b)(11) added; eff. 4-21-99....................70919 240.17a-5 (e)(5) added.............................................37673 (e)(5)(vi) added...............................................59213 (o) added......................................................59401 240.17a-11 (b) redesignated as (b)(1); (b)(2) and (c)(4) added; (c) introductory text, (e) introductory text and (h) amended; (c)(3) revised....................................59401 240.17a-12 Added...................................................59401 240.17a-23 Removed; eff. 4-21-99...................................70920 240.17Ad-17 (a)(3)(i) corrected.....................................1884 240.17Ad-18 Added..................................................37693 (f) added......................................................58635 [[Page 49]] 240.19b-4 (e) through (h) redesignated as (f) through (i); new (e) added......................................................70967 240.19b-5 Added; eff. 4-21-99......................................70920 240.36a1-1 Added...................................................59404 240.36a1-2 Added...................................................59404 241 Interpretive releases............................14806, 17943, 41404 242 Authority citation revised.....................................70921 Heading revised; eff. 4-21-99..................................70921 242.300--242.303 Undesignated center heading and sections added; eff. 4-21-99...............................................70922 242.301 Eff. in part 4-1-00........................................70922 249 Technical correction...........................................42229 249.1 Revised; eff. 4-21-99........................................70925 249.1a Removed; eff. 4-21-99.......................................70933 249.308 Form 8-K amended; eff. 1-1-99...............................9647 249.308a Form 10-Q amended; eff. 1-1-99.............................9647 249.308b Form 10-QSB amended; eff. 1-1-99...........................9647 249.310 Form 10-K amended; eff. 1-1-99..............................9647 249.310b Form 10-KSB amended; eff. 1-1-99...........................9647 249.501 Form BD amended.............................................9416 249.617 Amended....................................................59404 Form X-17A-5 corrected.........................................63143 249.618 Added......................................................37674 249.619 Added......................................................37694 249.636 Removed; eff. 4-21-99......................................70933 249.637 Added; eff. 4-21-99........................................70933 249.638 Added; eff. 4-21-99........................................70943 249.819 Form 19b-4 amended.........................................70967 249.820 Added......................................................70967 249.821 Added; eff. 4-21-99........................................70946 250.45 (b)(7) added.................................................9741 250.52 (a) and (b) revised; (e) added...............................9741 270 Compliance date extension......................................29345 270 Authority citation amended.....................................13987 270.0-10 Revised...................................................35514 270.8b-11 (c) amended; (e) revised; eff. 6-1-98....................13944 270.34b-1 (b)(1)(ii)(B) revised; eff. 6-1-98.......................13987 271 Interpretive releases...................................14806, 41404 274.11A Form N-1A revised; eff. 6-1-98.............................13944 Form N-1A corrected; OMB number................................14814 Form N-1A corrected............................................19286 274.11a-1 Form N-2 amended; eff. 10-1-98............................6388 274.24 Form 24F-2 amended..........................................62937 274 Appendix A corrected...........................................19286 275 Authority citation revised.....................................39027 275.0-7 Revised....................................................35515 275.203A-1 (b)(2), (c) and (d) amended.............................39716 275.203A-2 Introductory text, (b) introductory text, (1) and (3) revised; (e) added.........................................39715 (d)(2) and (3) amended.........................................39716 275.203A-3 Introductory text and (a) revised.......................39715 275.203A-5 Removed.................................................39716 275.205-3 Revised..................................................39027 275.206(4)-3 (a)(1)(ii)(D) amended.................................39716 276 Interpretive releases............................14806, 39508, 41404 279.1 Form ADV amended.............................................39716 279.3 Removed......................................................39716 279.9 Added........................................................54312 1999 17 CFR 64 FR Page Chapter I 1 Fee schedules....................................................19711 1.31 (b), (c) and (d) revised......................................28742 (b)(4) stayed; eff. 7-7-99 through 9-27-99.....................36569 1.41 (f)(10) added....................................................22 1.61 Removed.......................................................24046 1.63 (a)(2) revised...................................................23 1.69 Added............................................................23 (a)(8) corrected................................................3340 3 Advisory.........................................................39912 3.11 (c)(1)(i)(A), (B), (ii)(A), (B), (C) and (2)(ii) revised; (c)(1)(i)(C) and (ii)(D) removed; (c)(1)(ii)(E) redesignated as (c)(1)(ii)(D)...............................1727 3.12 (d)(1)(iv), (v), (d)(3), (i)(1)(v) and (2) revised; (d)(1)(vi) and (i)(1)(vi) removed; (i)(1)(vii) redesignated as (i)(1)(vi)..................................1727 3.13 Revised.......................................................68016 3.14 Removed.......................................................68017 3.40 (a) revised....................................................1728 3.44 (a)(2) and (3) revised.........................................1728 5 Fee schedules.............................................19711, 30384 Authority citation revised.....................................66380 5.3 Added..........................................................66380 5 Appendix A revised...............................................29217 Appendix E added...............................................29224 [[Page 50]] 9 Order............................................................39913 Advisory.......................................................39915 Technical correction...........................................43254 9.9 (b)(1) introductory text, (3) and (4) revised..................46270 10.1 (d) revised...................................................30903 10.68 (a)(2) amended...............................................30903 10.92 (b)(1) revised...............................................30903 10.101 (a)(5)(iii) revised.........................................30903 10.102 (e)(1) amended..............................................30903 10.106 (b)(3) amended..............................................30903 10.109 Introductory text, (a)(2)(ii) and (b) revised; (d) removed 43071 10 Appendix A amended..............................................30903 12.408 Introductory text and (b) revised...........................43071 17.00 (b)(1) introductory text revised; (b)(1) designation, (2) and (c) removed; (b)(1)(i) and (ii) redesignated as (b)(1) and (2); (b)(3) added......................................24046 18.01 Revised......................................................24046 30 Technical correction............................................30103 30.5 Introductory text and (e) added; (a) revised..................28914 30.6 (b) revised...................................................28914 30 Appendix C amended..............................................50251 31 Fee schedules...................................................19711 32.13 Revised......................................................68017 145 Authority citation revised........................................25 145.5 Introductory text, (d)(1)(i)(B) through (F) and (H) amended; (d)(1) introductory text removed; (g) revised.................25 145.6 (a) amended.....................................................26 145.9 (d)(1) and (e)(1) amended; (d)(4), (6), (7) and (8) revised; (d)(10) removed; (d)(11) redesignated as (d)(10)..............26 145 Appendixes A and B amended........................................27 147.3 (b)(4)(i) introductory text removed; (b)(4)(i)(A)(2) through (6) and (8) amended...........................................27 150.1 (d) introductory text, (2), (e)(2) and (5) revised...........24046 150.2 Revised......................................................24047 150.4 Revised......................................................24047 150.5 Added........................................................24048 171.50 Heading, (a)(1) introductory text, (c) and (d) revised......46271 Chapter II 200.30-1 (e)(16) added.............................................61400 200.30-3 (a)(67) added.............................................42595 (a)(68) added..................................................61400 (a)(6) amended.................................................61442 200.30-5 (e)(2) revised............................................34540 202.3 (b)(2) revised...............................................19451 210 Technical correction...........................................61962 210.3-03 (e) amended................................................1734 210.3-01 (h) amended; eff. 9-30-00.................................53908 210.3-02 (d) amended; eff. 9-30-00.................................53908 210.3-12 (f) amended; eff. 9-30-00.................................53909 210.3-19 Removed; eff. 9-30-00.....................................53908 210.3-20 (d) amended; eff. 9-30-00.................................53908 210.10-01 (d) revised..............................................73401 210.12-16 Table amended.............................................1734 211 Staff accounting bulletin........................45150, 67154, 68936 228 Technical correction...........................................61962 228.305 Added......................................................73401 228.306 Added......................................................73401 228.310 Note 2 amended; eff. 9-30-00...............................53909 (b) introductory text revised..................................73401 228.402 (b)(2)(iv)(B) and (c)(1) introductory text revised; eff. 4-7-99.....................................................11115 229 Technical correction...........................................61962 229.10 (a)(2) revised..............................................61443 229.101 (b) introductory text, (1) and (d) revised; (c)(1) introductory text, (i), (ii), (iv), (v) and instructions amended.....................................................1734 229.102 Amended.....................................................1735 229.302 (a)(5) revised.............................................73402 229.306 Added......................................................73402 229.402 (b)(2)(iv)(B) and (c)(1) introductory text revised; eff. 4-7-99.....................................................11115 (a)(1)(ii) amended; eff. 9-30-00...............................53909 229.404 Amended; eff. 9-30-00......................................53909 229.512 (a)(4) amended; eff. 9-30-00...............................53909 229.601 (b)(10)(iii)(B)(5) amended; eff. 9-30-00...................53909 229.1000--229.1016 (Subpart 229.1000) Added........................61443 230 Authority citation revised.....................................61449 Technical correction...........................................61962 230.135 Revised....................................................61449 230.144 (a)(3)(iv) and (v) amended; (a)(3)(vi) and (vii) added.....61400 230.145 (b) revised................................................61450 230.154 Added......................................................62545 230.162 Added......................................................61450 230.165 Added......................................................61450 230.166 Added......................................................61450 [[Page 51]] 230.175 (b)(2)(i) and (c)(3) amended; eff. 9-30-00.................53909 230.401 (g) revised; eff. 4-7-99...................................11116 230.405 Amended; eff. 4-7-99.......................................11116 Amended; eff. 9-30-00..........................................53909 230.425 Added......................................................61450 230.432 Revised....................................................61451 230.434 (c)(3)(i) revised; (c)(3)(ii) amended; eff. 9-30-00........53909 230.463 (a) amended; eff. 9-30-00..................................53910 230.485 (f)(1) designation and (2) removed.........................27894 230.486 (f)(1) designation and (2) removed.........................27894 230.487 (d)(1) designation and (2) removed.........................27894 230.495 (e)(1) designation and (2) removed.........................27894 230.497 (k)(2)(ii) amended.........................................27894 230.504 (b)(1) revised; eff. 4-7-99................................11094 230.701 Revised; eff. 4-7-99.......................................11101 (c) introductory text, (d)(2)(ii) and (iii) amended............61498 230.800--230.802 Undesignated center heading and sections added....61400 232.10 (b) revised.................................................27894 232.11 Amended.....................................................27894 232.13 (d) amended.................................................61451 232.101 (a)(1)(iv) and (c)(11) amended.............................19471 (a)(1)(iii) note revised; (b)(7) removed.......................27894 (a)(1)(iii) revised; (b)(7) removed; (b)(8) redesignated as (b)(7)..............................................................2849 232.102 (e) revised................................................27894 232.104 Added......................................................27895 232.105 Added......................................................27895 232.106 Added......................................................27895 232.301 Revised.............................................27898, 56431 232.302 (a) revised................................................27895 232.303 (a)(3) revised.............................................27895 232.304 Heading, (a) and (b) revised; (c) amended..................27895 232.305 Existing text designated as (a); (b) added.................27896 232.306 (b) revised................................................27896 232.307 Existing text designated as (a); (b) added.................27896 232.310 Revised....................................................27896 239 Technical correction...........................................61962 239.13 (b)(4) revised; Form S-3 amended; eff. 4-7-99...............11116 239.14 Form N-2 amended.....................................27897, 46837 239.15 Form N-1 amended............................................27897 239.15A Form N-1A amended...................................27897, 45836 239.16 Form S-6 amended............................................27896 239.16b (a)(1) revised; F S-8 amended; eff. 4-7-99.................11117 239.17a Form N-3 amended....................................27897, 45837 239.17b Form N-4 amended...........................................27897 239.18 Form S amended; eff. 9-30-00................................53910 239.24 Form N-5 amended..............................27897, 46837, 46838 239.25 Form S-4 amended............................................61451 239.31 Form F-1 amended; eff. 9-30-00..............................53910 239.32 Form F-2 amended; eff. 9-30-00..............................53910 239.33 Form F-3 amended; eff. 9-30-00..............................53910 239.34 Form F-4 amended; eff. 9-30-00..............................53911 Form F-4 amended...............................................61451 239.36 Form F-6 amended; eff. 9-30-00..............................53912 239.42 Heading revised; (e) and (f) amended; (g) added.............61402 Form F-X amended...............................................61403 239.63 Form ID amended.............................................56432 239.800 Added......................................................61403 240 Technical correction...........................................61962 240.3a12-8 (a)(1)(xviii) and (xix) amended; (a)(1)(xxi) added.....10567, 29553 Corrected...............................................31493, 32924 240.3b-4 Heading and (c) revised; eff. 9-30-00.....................53912 240.3b-6 (b)(2)(i) and (c)(3) amended; eff. 9-30-00................53912 240.10b-13 Removed.................................................61452 240.10b-18 (a)(15) and (d) added; (c) revised......................52433 240.13a-10 (g)(4) amended; eff. 9-30-00............................53912 240.13e-1 Revised..................................................61452 240.13e-3 (g)(6) added.............................................61403 (d), (e) and (f) heading revised; (g)(5) amended...............61452 240.13e-4 (h)(7) amended; (h)(8) redesignated as (h)(9); (h)(8) and (i) added..............................................61403 Heading, (a)(4), (c), (d) and (e) revised; (b) redesignated as (j); (a) introductory text, (3), (f)(12), (g) introductory text and new (j)(2)(i) and (ii) amended; new (b) added..................61453 [[Page 52]] 240.13e-100 Revised................................................61454 240.13e-101 Removed................................................61456 240.13f-1 (a) redesignated as (a)(1); (a)(2) added..................2849 240.13f-2 Removed...................................................2849 240.14a-3 (e)(1) and (2) introductory text revised.................62546 240.14a-4 (f) amended..............................................61456 240.14a-6 (b), (c), (e)(2) and (j) revised; (b) note removed; (o) added......................................................61456 240.14a-11 Removed.................................................61456 240.14a-12 Revised.................................................61456 240.14a-101 Amended............................1735, 27896, 61457, 73402 240.14c-3 (c) added................................................62547 240.14c-5 (b) and (d)(2) revised...................................61459 240.14c-7 Note 2 removed; Note 3 and Note 4 redesignated as Note 2 and Note 3.................................................62547 240.14d-1 (c) through (f) redesignated as (e) through (h); new (f) amended; (c) and (d) added.................................61404 (g)(1) through (7) redesignated as (g)(2), (7), (5), (1), (9), (3) and (6); (b) introductory text and new (g)(1) amended; new (g)(4) and (8) added...............................................61459 240.14d-2 Revised..................................................61459 240.14d-3 (a)(1), (2), (ii), (3) introductory text and (c) amended; (b) revised.......................................61460 240.14d-4 (b) and (c) redesignated as (c) and (d)(1); heading, (a) introductory text, (3) and new (d) heading revised; introductory text, (a) instruction, new (b) and (d)(2) added; new (d)(1) amended..................................61460 240.14d-5 (c)(1) revised...........................................61460 240.14d-6 Revised..................................................61460 240.14d-7 (a) redesignated as (a)(1); (a)(2) added.................61461 240.14d-9 (d)(2) introductory text revised; (d)(2)(iii) added......61406 (a) through (f) redesignated as (b) through (g); heading and new (b) introductory text revised; new (a) added...................61461 (b)(1), (2)(i), (3)(i), (c)(2), (d), (e)(1) introductory text, (2), (2)(i) and (f)(4) amended.....................................61462 240.14d-11 Added...................................................61462 240.14d-100 Revised................................................61462 240.14d-101 Revised................................................61464 240.14e-1--240.14e-8 Note added....................................61465 240.14e-1 (c) revised..............................................61465 240.14e-2 (d) added................................................61406 240.14e-5 Added....................................................61465 240.14e-8 Added....................................................61466 240.15b1-1 (c) revised.............................................25147 240.15b3-1 (c) revised.............................................25147 (b) removed; (c) redesignated as (b); new (c) added............37593 (c)(4) added...................................................42595 240.15b6-1 Revised.................................................25147 (e) added......................................................42595 240.15b7-3T Added..................................................42028 240.15d-10 (g)(4) amended; eff. 9-30-00............................53912 240.15Ba2-2 (d) revised............................................25148 (e) added......................................................37594 (e)(4) added...................................................42596 240.15Bc3-1 Revised................................................25148 (e) added......................................................42596 240.15Ca1-1 (c) revised............................................25148 240.15Ca2-1 (b) removed; (c) redesignated as (b); new (c) added....37594 240.15Cc1-1 Revised................................................25148 (c)(4) added...................................................42596 (d) added......................................................42596 240.17a-4 (b)(11) correctly designated and corrected...............13066 240.17a-5 (g)(2) and (3) correctly added; CFR correction...........39918 240.17a-9T Added...................................................42029 240.17Ad-21T Added.................................................42029 249 Technical correction...........................................61962 249.220f Form 20-F amended..........................................1735 Form 20-F amended; eff. 9-30-00................................53912 249.325 Form 13F revised............................................2849 Form 13F corrected..............................................5865 249.326 Removed.....................................................2853 249.446 Form ID amended............................................56432 249.480 Added......................................................61406 249.501 Form BD revised............................................37594 Existing text designated as (a); (b) added.....................42596 249.501a Form BDW revised..........................................25149 Existing text designated as (a); (b) added.....................42596 259.602 Form ID amended............................................56432 260 Technical correction...........................................61962 260.0-11 (b)(2) and (c)(3) amended; eff. 9-30-00...................53925 260.4d-10 Added....................................................61406 269.7 Form ID amended..............................................56432 270 Compliance date extension................................5156, 24488 Authority citation amended.....................................46834 [[Page 53]] 270.8b-23 (a) revised..............................................27896 270.8b-32 (c) revised..............................................27896 270.8f-1 Revised...................................................19471 270.15a-4 Revised..................................................68023 270.17j-1 Revised..................................................46834 270.30d-1 (f) added................................................62547 270.30d-2 Revised..................................................62547 271 Interpretive releases..........................................59877 274.5 Form N-5 amended...............................27897, 46837, 46838 274.11 Form N-1 amended............................................27897 274.11a-1 Form N-2 amended..................................27897, 46837 274.11b Form N-3 amended....................................27897, 46837 274.11c Form N-4 amended...........................................27897 274.11A Form N-1A amended...................................27897, 46836 274.12 Form N-8B-2 amended.........................................46838 274.101 Form N-SAR amended.........................................27896 274.218 Revised....................................................19471 274.402 Form ID amended............................................56432 275.202 (a)(1)-1 amended............................................2567 275.203A-6 Added; eff. 5-3-99......................................15683 275.204-1 (c) added.................................................2567 275.204-2 (a)(12)(i) and (13)(i) revised; (a)(12)(ii), (iii), (13)(ii) and (iii) redesignated as (a)(12)(iii), (iv), (13)(iii) and (iv); new (a)(12)(iii)(B), (13)(iii)(B) and (C) redesignated as (a)(12)(iii)(C), (13)(iii)(C) and (D); new (a)(12)(ii), (iii)(B), (13)(ii) and (iii)(B) added.....46838 275.204-5 Added....................................................54312 279.1 Form ADV amended..............................................2121 Form ADV amended; eff. 12-31-99................................15683 Chapter IV 405.2 (a)(11) and (12) redesignated as (a)(15) and (16); new (a)(11) through (14) added..................................1737 2000 17 CFR 65 FR Page Chapter I 1 Fee schedules....................................................46578 1.3 (tt) added.....................................................12469 (g), (m) and (v) added.........................................78008 Regulation at 65 FR 78008 withdrawn............................82272 1.4 Added..........................................................12469 1.10 (a)(2)(i)(B) in part, (ii)(C) in part and remaining (ii)(C) redesignated as (a)(2)(i)(C), (ii)(E) and (D); (a)(2)(i)(B) and new (a)(2)(i)(D) revised; (a)(2)(i)(C) and new (ii)(C) added......................................78008 Regulation at 65 FR 78008 withdrawn............................82272 1.17 (c)(5)(v), (e)(1)(ii) and (h)(1)(iii) revised.................21311 (h)(2)(vii)(C) and (3)(vi) revised.............................51531 (c)(5)(xiii) revised...........................................66619 (a)(1)(ii) redesignated as (a)(1)(iii); (a)(1)(ii) and (a)(2)(iii) added..................................................78009 Regulation at 65 FR 78009 withdrawn............................82272 1.20 (a) and (c) revised...........................................78009 1.25 Revised.......................................................78010 (a)(1)(vii), (b)(2)(i)(A) and (C) revised; (b)(2)(i)(D) redesignated as (b)(2)(i)(E); new (b)(2)(i)(D) and (b)(4)(i)(D) added..............................................................82271 1.26 Revised.......................................................78012 1.27 Amended.......................................................78013 1.28 Amended.......................................................78013 1.29 Amended.......................................................78013 1.33 (g) added.....................................................78013 Regulation at 65 FR 78013 withdrawn............................82272 1.37 (c) and (d) added.............................................77977 Regulation at 65 FR 77977 withdrawn............................82272 1.41(b) and (i) through (t) removed;(e) redesignated as (i); (a)(1), (c), (d) and new (i) revised; (f) and (g) amended 77977 Regulation at 65 FR 77977 withdrawn............................82272 1.43 Removed.......................................................77979 Corrected......................................................80497 Regulation at 65 FR 77979 withdrawn............................82272 1.45 Removed.......................................................77979 Corrected......................................................80497 Regulation at 65 FR 77979 withdrawn............................82272 1.46 (a) introductory text and (e) revised; (d)(4) through (7) and (9) removed................................................78013 Regulation at 65 FR 78013 withdrawn............................82272 1.50 Removed.......................................................77979 Corrected......................................................80497 [[Page 54]] Regulation at 65 FR 77979 withdrawn............................82272 1.52 (m) added.....................................................78013 Regulation at 65 FR 78013 withdrawn............................82272 1.55 (d) and (f) revised...........................................78013 Regulation at 65 FR 78013 withdrawn............................82272 1.59 (a)(2) through (8) redesignated as (a)(4) through (10); new (a)(2) and (3) added; heading, new (a)(4), (b) introductory text, (1) introductory text, (i), (c) and (d) revised....................................................47847 3 Authority citation revised.......................................78013 Regulation at 65 FR 78013 withdrawn............................78013 3.1 (a)(1) and (2) revised.........................................78013 Regulation at 65 FR 78013 withdrawn............................82272 3.10 (a)(1)(i) and (d) revised; (a)(2)(ii) removed; (a)(2)(i) redesignated as (a)(2).....................................78014 Regulation at 65 FR 78014 withdrawn............................82272 3.21 (c) introductory text revised.................................78014 Regulation at 65 FR 78014 withdrawn............................82272 3.31 (a) redesignated as (a)(1); (a)(2) added......................78014 Regulation at 65 FR 78014 withdrawn............................82272 3.32 Removed.......................................................78014 Regulation at 65 FR 78014 withdrawn............................82272 3.34 Removed.......................................................78014 Regulation at 65 FR 78014 withdrawn............................82272 3 Appendix A amended...............................................78014 Appendix B amended.............................................78017 Regulations at 65 FR 78014 and 78017 withdrawn.................82272 4.2 (a) revised....................................................58649 4.5 (a)(4)(ii), (iii) and (iv) amended; (a)(4)(v) added............24128 (a)(4) corrected...............................................25980 4.7 Revised........................................................47854 4.10 (e)(1) revised................................................78018 Regulation at 65 FR 78018 withdrawn............................82272 4.14 (a)(5), (6), (7) and (8)(v)(D) amended; (a)(9) added..........12943 4.21 (a) revised...................................................58649 4.22 (f)(1) introductory text, (i) through (v), (2) introductory text, (i), (ii), (3) introductory text, (i) and (ii) redesignated as (f)(1)(i) introductory text, (A) through (E), (ii) introductory text, (A), (B), (iii) introductory text, (A) and (B); new (f)(2) added........................81334 4.24 (f)(1)(v) and (h)(2) revised..................................78018 Regulation at 65 FR 78018 withdrawn............................82272 4.26 (a), (b) and (d) revised......................................58649 4.32 Added.........................................................78018 Regulation at 65 FR 78018 withdrawn............................82272 4.34 (f)(1)(ii) and (h) revised....................................78018 Regulation at 65 FR 78018 withdrawn............................82272 4.36 (d) revised...................................................58650 5 Fee schedules....................................................46578 Heading revised................................................77979 Regulation at 65 FR 77979 withdrawn............................82272 5.1 Revised........................................................77979 Regulation at 65 FR 77979 withdrawn............................82272 5.2 Revised........................................................77979 Regulation at 65 FR 77979 withdrawn............................82272 5.3 Revised........................................................77979 Regulation at 65 FR 77979 withdrawn............................82272 5 Appendices C and D removed.......................................77981 Regulation at 65 FR 77981 withdrawn............................82272 15 Authority citation revised......................................77981 15.03 Revised; eff. 5-16-00........................................14457 15.05 Heading revised; (e) through (h) added.......................77981 Regulation at 65 FR 77981 withdrawn............................82272 16.02 Removed; eff. 5-16-00........................................14458 16.03 Removed; eff. 5-16-00........................................14458 17.01 (b)(3)(ii) and (c) removed; (b)(3)(iii) revised; eff. 5-16- 00.........................................................14458 30 Order...........................................................60560 30.1 (d) and (e) added.............................................47280 30.6 (b) revised...................................................47859 30.12 Added........................................................47280 30 Appendix B revised..............................................60558 35 Revised.........................................................78034 Regulation at 65 FR 78034 withdrawn............................82272 36 Revised.........................................................77981 [[Page 55]] Regulation at 65 FR 77981 withdrawn............................82272 37 Added...........................................................77982 Regulation at 65 FR 77982 withdrawn............................82272 38 Added...........................................................77987 Regulation at 65 FR 77987 withdrawn............................82272 39 Added...........................................................78025 Regulation at 65 FR 78025 withdrawn............................82272 140.72 (a) amended.................................................64137 140.73 (a) amended.................................................64137 140.91 (a)(7) added................................................78018 Regulation at 65 FR 78018 withdrawn............................82272 140.99 (i)(A) and (B) redesignated as (i)(1) and (2); new (i)(1) amended....................................................47859 143 Authority citation revised.....................................45711 143.8 (a) and (c) revised..........................................45711 146 Authority citation revised.....................................53560 146.11 (a) introductory text revised...............................53560 155.2 Amended......................................................78019 Regulation at 65 FR 78019 withdrawn............................82272 155.3 Amended......................................................78019 Regulation at 65 FR 78019 withdrawn............................82272 155.4 Amended......................................................78019 Regulation at 65 FR 78019 withdrawn............................82272 155.5 Amended......................................................78019 Regulation at 65 FR 78019 withdrawn............................82272 155.6 Added........................................................78019 Regulation at 65 FR 78019 withdrawn............................82272 166 Authority citation amended.....................................78019 Regulation at 65 FR 78019 withdrawn............................82272 166.5 Added........................................................78019 Regulation at 65 FR 78019 withdrawn............................82272 170.8 Revised......................................................77992 Regulation at 65 FR 77992 withdrawn............................82272 180 Removed........................................................77992 Regulation at 65 FR 77992 withdrawn............................82272 180.3 (b)(2)(vi) revised...........................................47859 Chapter II 200.30-5 (e) introductory text revised; (e)(7) added...............57447 200.30-11 (b)(2) revised...........................................57448 200.30-14 (l) added................................................12469 200.80--200.83 (Subpart D) Authority citation revised..............55182 200.80 (b)(7)(ii) removed; (a)(3), (4), (b)(7)(i) introductory text and (A) through (F) redesignated as (a)(4), (5), (b)(7) introductory text and (i) through (vi); (a)(2) introductory text, (iv), (v), new (4), (b)(4)(ii), new (7)(iv) and (8) amended; (a)(2)(vi) and new (3) added......55182 (c)(1) introductory text, (i), (iii), (2), (d)(1) and (7) introductory text amended; (d)(5), (6) introductory text and (ii) revised............................................................55183 (d)(8) introductory text and (e)(4) revised; (d)(9) heading and (i) removed; (d)(9)(ii) redesignated as (d)(9); (e) introductory text, (1), (3), (7)(i), (ii) and (8)(iii) amended.....55184 200.83 (c)(2) through (6) revised; (c)(7) and (8) added............55184 (e)(1) revised; (g), (h) and (i) redesignated as (h), (i) and (j); (d)(1), (e)(2) through (5) and new (h)(1), (2) and (i) amended; new (g) and (k) added.....................................55185 200.303 (a) introductory text amended..............................55185 (a)(2), (3) and (b)(2) amended; (a)(4) revised.................55186 200.306 (a) introductory text revised..............................55186 200.308 (a)(1) introductory text, (9)(ii) and (b)(1) amended; (a)(2) revised.............................................55186 200.310 (a) and (b) amended........................................55186 200.312 (a)(1) through (6) revised; (a)(7) and (8) removed.........55186 210 Heading and authority citation revised.........................76082 210.2-01 Note, (d), (e) and (f) added; (b) and (c) revised.........76082 210.3-10 Revised...................................................51707 210.3-16 Added.....................................................51710 211 Staff accounting bulletin......................................16811 Staff accounting bulleting.....................................40993 Interpretive release and Staff Accounting Bulletin.............51710 228.310 Note 3 redesignated as Note 5; new Notes 3 and 4 added.....51710 [[Page 56]] 228.601 (a) table amended; (b)(27) and (28), (c) and Appendixes A through F removed..........................................24799 229.601 (a) table amended; (b)(27) and (28), (c) and Appendixes A through F removed..........................................24799 230 Authority citation amended.....................................47284 230.110 (b) revised................................................24799 230.154 (e) removed................................................65749 230.160 Added......................................................47284 230.237 Added......................................................37676 230.483 Heading revised; (e) removed...............................24799 231 Interpretive releases...................................25853, 47284 232 Technical correction............................................6444 232.11 Amended.....................................................24800 232.12 (b) and (c) revised.........................................24800 232.103 Revised....................................................24800 232.104 (b) revised; (f) added.....................................24800 232.105 (a), (b) and (c) revised...................................24800 232.301 Revised.......................................3124, 34080, 39087 232.302 (a) revised................................................24800 232.303 (a)(4) removed.............................................24800 232.304 (a) amended; (a) note, (e) and (f) added; (d) revised......24800 232.311 (c) removed; (d) through (i) redesignated as (c) through (h)........................................................24801 232.401--232.402 Undesignated center heading and sections removed 24801 232.501 Introductory text revised..................................24801 239.12 Form S-2 amended............................................24801 239.13 Form S-3 amended............................................24801 239.16b Form S-8 amended...........................................24801 239.62 Form ET amended.............................................24802 Chapter II 240.0-2 (b) revised................................................24801 240.9b-1 (a)(3), (b)(2)(i), (ii), (c) and (d) revised..............64139 240.10b5-1 Added...................................................51737 240.10b5-2 Added...................................................51738 240.11Ac1-1 (a)(5), (20) and (d) revised; (b)(3)(i) amended; (a)(26) through (30) and (e) added.........................75461 240.11Ac1-4 (a)(10) revised........................................75462 240.11Ac1-5 Added..................................................75436 240.11Ac1-6 Added..................................................75436 240.11Ac1-7 Added..................................................75462 240.12f-2 (a) revised..............................................53565 240.12g3-2 (a) revised.............................................37676 240.12h-5 Added....................................................51711 240.14a-2 (a)(1)(ii) revised.......................................65749 240.14a-3 (e)(1) revised...........................................65750 240.14a-7 (a)(2)(i) and (ii) revised; note designated as note 1 and amended; Note 2 added..................................65750 240.14a-101 Amended.........................................65751, 76087 240.14b-1 (b)(2) note and (c)(3) added.............................65751 240.14b-2 (b)(3) note and (c)(4) added.............................65751 240.14c-3 (c) revised..............................................65751 240.14c-101 Amended................................................65751 240.17a-4 (b)(1) revised...........................................13235 240.17a-24 Removed.................................................36610 240.17Ac2-2 Revised................................................36610 241 Interpretive releases...................................25856, 46588 242.301 (b)(4) amended.............................................13235 (b)(5)(i)(D), (E), (6)(i)(D) and (E) stayed eff. 4-1-00 through 12-1-00....................................................18888 (b)(5)(i)(D), (E), (6)(i)(D) and (E) stayed eff. 12-1-00 through 12-1-00....................................................76572 243 Added..........................................................51738 248 Added..........................................................40362 249 Authority citation amended.....................................51739 249.220f Form 20-F amended.........................................51711 249.308 Amended; Form 8-K amended..................................51739 249.445 Form ET amended............................................24802 249b.1202 Form TA-2 revised........................................36610 250.21 (b)(1) revised..............................................24801 250.87 (b) corrected; CFR correction...............................52644 259.5s Form U5S amended............................................24801 259.101 Form U-1 amended...........................................24801 259.313 Form U-13-60 amended.......................................24802 259.402 Form U-3A-2 amended........................................24802 259.601 Form ET amended............................................24802 260.0-5 (b) revised................................................24802 269.6 Form ET amended..............................................24802 270 Technical correction...........................................15933 270.7d-1 (b)(8)(v) introductory text revised.......................25637 270.7d-2 Added.....................................................37677 270.8b-2 Introductory text amended.................................24802 270.8b-23 (a) amended..............................................24802 270.8b-32 (c)(1) designation and (2) removed.......................24802 270.17f-4 (b) introductory text revised............................25637 270.17f-5 Revised..................................................25637 270.17f-7 Added....................................................25638 270.17j-1 Corrected................................................12943 271 Interpretive releases............................25857, 46588, 47284 [[Page 57]] 274.101 Form N-SAR amended.........................................24802 274.401 Form ET amended............................................24802 275 Authority citation amended.....................................57448 275.0-2 Revised....................................................57448 275.0-7 (a)(1) and (b)(1) revised..................................57448 275.203-1 Revised..................................................57448 (b)(2) note corrected..........................................81737 275.203-2 Revised..................................................57449 275.230-3 Added....................................................57449 (a)(1), (2)(i), (3), (b)(2), (3) and note corrected............81738 275.203A-1 Revised.................................................57449 275.203A-2 (b)(3) amended; (d)(2), (3), (e)(2), (3) and (4) revised....................................................57450 275.204-1 Revised..................................................57450 (c) note corrected.............................................81738 275.204-5 Removed..................................................57450 279.1 Form ADV revised.............................................57451 Form ADV corrected.............................................81378 279.2 Form ADV-W revised...........................................57451 Form ADV-W corrected...........................................81378 279.3 Added........................................................57451 Form ADV-H corrected...........................................81378 279.4 Revised......................................................57451 Form ADV-NR corrected..........................................81379 279.5 Removed......................................................57451 279.6 Removed......................................................57451 279.7 Removed......................................................57451 279.9 Removed......................................................57451 279 Appendixes A and B corrected...................................81738 279 Appendix B corrected...........................................81739