[List of CFR Sections Affected (LSA), November 2006] [From the U.S. Government Publishing Office, www.gpo.gov] TITLE 17_COMMODITY AND SECURITIES EXCHANGES Chapter I_Commodity Futures Trading Commission (Parts 1_199) 1.3 (c) and (d) revised.........................................06-37816 1.10 (b)(2)(iii), (d)(4)(ii) and (h) revised; (d)(4)(iii) added...........................................06-67465 1.31 (d) revised................................................06-67465 15.00 Revised...................................................06-37816 15.01 (a) and (b) revised.......................................06-37817 15.03 (b) revised...............................................06-37817 15.05 (a) and (h) revised.......................................06-37818 16 Heading and authority citation revised.......................06-37818 16.00 (a) introductory text, (1), (5) and (b) introductory text revised; (c) added........................06-37818 16.01 (a) through (d) introductory text revised; (a) note removed; (e) added.................................06-37818 16.06 Revised...................................................06-37819 16.07 (a) and (b) revised.......................................06-37819 17 Heading and authority citation revised.......................06-37819 17.00 (a)(1), (b)(2) and (g)(2)(iv) revised; (i) added.......................................................06-37819 17.01 Introductory text, (a), (b) introductory text, (d), (f) and (g) revised; (h) added...................06-37820 17.02 Revised...................................................06-37820 17.03 Introductory text and (c) revised.........................06-37820 17.04 (a), (b)(1)(i) and (2) revised............................06-37820 18.00 Introductory text revised.................................06-37821 18.05 Revised...................................................06-37821 19.00 (a) and (b) introductory text revised.....................06-37821 19.01 (a) introductory text revised.............................06-37821 21.01 Revised...................................................06-37821 21.02 Heading and introductory text revised.....................06-37821 21.03 Heading, (c), (d), (e) introductory text and (f) revised.................................................06-37821 30 Appendix C amended...........................................06-40396 37.2 Revised....................................................06-37822 41.15 Added.....................................................06-39541 41.21 (a)(2)(i), (ii), (b)(3)(i) and (ii) amended; (a)(2)(iii) and (b)(3)(iii) added...........................06-39542 140 Policy statement............................................06-64443 Chapter II_Securities and Exchange Commission (Parts 200_399) 200.1--200.30-18 (Subpart A) Authority citation revised.....................................................06-65407 200.21 (a) amended..............................................06-27385 200.30-1 (e)(1) amended.........................................06-65407 200.200--200.205 (Subpart G) Authority citation amended.....................................................06-33386 200.200 Amended.................................................06-33386 Correctly amended.............................................06-35730 200.201 Revised.................................................06-33386 200.202 (b) revised; authority citation removed.................06-33387 200.203 (c)(1) revised; (e) amended; authority citation removed............................................06-33387 200.204 Amended.................................................06-33387 200.205 Authority citation removed..............................06-33387 202 Authority citation revised..................................06-42001 202.10 Added....................................................06-20340 202.11 Added....................................................06-42001 210.2-02T Added.................................................06-47059 211 Staff accounting bulletin...................................06-54580 228.201 (d) instructions amended................................06-53228 228.306 Removed.................................................06-53228 228.401 (e), (f) and (g) removed................................06-53228 228.402 Revised.................................................06-53228 228.403 (b) revised.............................................06-53234 228.404 Revised.................................................06-53234 228.407 Added...................................................06-53235 229.201 (d) instructions amended; (e) added.....................06-53240 229.306 Removed.................................................06-53241 229.401 (g)(1) revised; (h), (i) and (j) removed 06-53241 229.402 Revised.................................................06-53241 (i)(1) table correctly amended................................06-56225 229.403 (b) revised.............................................06-53252 229.404 Revised.................................................06-53252 229.407 Added...................................................06-53254 229.601 (b)(10)(iii)(C)(5) revised..............................06-53259 229.1107 (e) revised............................................06-53259 232.304 (d) and (e) revised.....................................06-53259 239.10 Form SB-2 amended........................................06-53259 239.11 Form S-1 amended.........................................06-53260 239.13 Form S-3 amended.........................................06-53260 239.14 Form N-2 amended...............................06-36657, 06-53266 239.15A Form N-1A amended.............................06-36656, 06-53266 239.17a Form N-3 amended..............................06-36658, 06-53266 [[Page 54]] 239.17b Form N-4 amended........................................06-36659 239.17c Form N-6 amended........................................06-36659 239.18 Form S-11 amended........................................06-53260 239.25 Form S-4 amended.........................................06-53260 240 Authority citation revised..................................06-65407 240.3a55-4 Added................................................06-39542 240.6h-2 Added..................................................06-39542 240.13a-11 (c) revised..........................................06-53260 240.13a-20 Added................................................06-53261 240.13e-4 (f)(8)(ii) revised; (f)(12) redesignated as (f)(13); new (f)(12) added...............................06-65407 240.14a-3 (b)(9) revised........................................06-53261 240.14a-6 (a)(4) revised........................................06-53261 240.14a-101 Amended.............................................06-53261 240.14c-5 (a)(4) revised........................................06-53263 240.14d-10 (a)(2) revised; (d) and (e) redesignated as (e) and (f); new (d) added..................06-65408 240.15d-11 (c) revised..........................................06-53263 240.15d-20 Added................................................06-53263 240.16b-3 (b)(3)(i)(B) and (C) amended; (b)(3)(i)(D) removed; Note 4 added..........................06-53263 241 Interpretive releases.......................................06-41978 242 Compliance date extension...................................06-30038 245.100 (a)(2) amended..........................................06-53263 249.210 Form 10 amended.........................................06-53264 249.210b Form 10-SB amended.....................................06-53264 249.220f Form 20-F amended............................06-47059, 06-53264 249.240f Form 40-F amended......................................06-47059 249.308 Form 8-K amended........................................06-53264 249.308a Form 10-Q amended......................................06-53265 249.308b Form 10-QSB amended....................................06-53265 249.310 Form 10-K amended.......................................06-53265 249.310b Form 10-KSB amended....................................06-53265 249.331 Form N-CSR amended......................................06-53266 270 Authority citation amended..................................06-36655 270.2a-46 Added.................................................06-64092 270.12d1-1 Added................................................06-36655 270.12d1-2 Added................................................06-36655 270.12d1-3 Added................................................06-36655 270.22c-2 Revised...............................................06-58272 270.55a-1 Added.................................................06-64092 274.11A Form N-1A amended.............................06-36656, 06-53266 274.11a-1 Form N-2 amended............................06-36657, 06-53266 274.11b Form N-3 amended..............................06-36658, 06-53266 274.11c Form N-4 amended........................................06-36659 274.11d Form N-6 amended........................................06-36659 274.128 Form N-CSR amended......................................06-53266 279.1 Form ADV amended..........................................06-17345 279.2 Form ADV-W amended........................................06-17345 279.3 Form ADV-H amended........................................06-17345 279.8 Form ADV-E amended........................................06-17345 Chapter IV_Department of the Treasury (Parts 400_499) 400.1 (a) revised...............................................06-54410 400.2 (c)(3)(vi) and (7)(i) amended.............................06-54410 400.3 Amended...................................................06-54410 401.3 (a)(2)(ii)(B) and (C) amended.............................06-54411 401.9 (b), (i), (n), (o) and (p) amended........................06-54411 402.1 (b) revised...............................................06-54411 402.2a (c) amended..............................................06-54411 403.1 Revised...................................................06-54411 404.1 (a)(3)(i)(B) amended......................................06-54411 404.4 (a)(3)(i)(B) amended......................................06-54411 405.1 (a) revised...............................................06-54411 Proposed Rules: 1.....................................................06-54789, 06-57451 4...........................................06-49387, 06-52211, 06-60454 38....................................................06-38740, 06-43681 41..............................................................06-18030 170.............................................................06-64171 210.............................................................06-47060 228.............................................................06-47060 229...................................................06-47060, 06-53267 230.............................................................06-67762 232.............................................................06-53494 239.............................................................06-53494 240.....................06-18030, 06-40866, 06-47060, 06-53494, 06-60636 242.............................................................06-41710 249...................................................06-47060, 06-53494 249b............................................................06-53494 269.............................................................06-53494 270...................................................06-35366, 06-64093 274.............................................................06-53494