[List of CFR Sections Affected (LSA), 1986-2000, Volume I (Titles 1 through 16)]
[From the U.S. Government Printing Office, www.gpo.gov]

 
Title 12




1986

12 CFR
51 FR
Page
Chapter I
1 Rulings..........................................................29085
3 Policy statement.................................................15305
5.1 Existing text designated as (a); (b) added.....................44594
5.4 Amended........................................................44594
5.5 (b) amended....................................................44594
5.8 (a) and (b) amended............................................44594
5.9 (a) amended; (b) revised.......................................44594
5.10 (a), (b)(1), (3), and (4) and (c) amended.....................44594
5.11 (a) introductory text and (2), (b), (c), (f) and (g) amended
44594
5.12 Revised.......................................................44594
5.20 (f) amended...................................................44594
5.21 (d), (g), (h) and (j)(2) amended; (e) revised.................44594
5.22 (c) amended...................................................44594
5.23 (c) amended...................................................44594
5.25 (c) amended...................................................44594
5.30 (f) and (h)(2) amended........................................44594
5.31 (f)(1) and (2), (g), (j)(1) and (2), and (k)(2) amended.......44594
5.32 (c) amended...................................................44594
5.33 (d) revised; (i)(2) amended...................................44594
5.41 (c) amended...................................................44594
5.43 (c) amended...................................................44594
5.48 (c), (e), and (f) amended.....................................44594
5.50 (d)(3), (f)(2) introductory text, (g)(1) (iii) and (v), (2),
(3)(iv), and (4)(i) introductory text, and (h) revised;
OMB numbers................................................25864
7 Authority citation revised.......................................25871
7.5225 Removed.....................................................25871
11.102 (ii)(4) note amended.........................................4888
11.105 (c) amended..................................................4888
11.106 (b)(2)(iii) amended..........................................4888
11.202 (b) amended..................................................4888
11.390 Amended......................................................4888
Corrected.......................................................4890
11.392 Amended......................................................4888
11.401 (b)(1) introductory text, (2), (3)(i)(A), and (C) amended
4888
(a), (b)(1) introductory text, (3)(ii), and (c) corrected.......4890
11.402 (b) corrected................................................4890
11.403 (d)(1)(i) and (ii) and (3)(ii) amended.......................4888
(d)(3)(iii)(B) corrected........................................4890
11.405 (b)(2)(iii) corrected........................................4890
11.410 (e)(3) and (g)(2) and (3) amended............................4888
(f) corrected...................................................4890
11.411 (b)(2), (c)(5)(v), (d)(1), (2), (4), and (5) amended; (i)
redesignated as 11.412 (d)..................................4888
(c)(4)(ii) corrected............................................4890
11.412 (b)(1)(1) and (2) redesignated as (b)(1)(i) and (ii); (d)
redesignated from 11.411 (i)................................4889
11.490 Corrected....................................................4890
11.491 Amended......................................................4889
11.504 (b)(4)(i) corrected..........................................4890
11.507 (b)(2)(A) and (B) redesignated as (b)(2)(i) and (ii).........4889
11.511 (d) amended..................................................4889
11.590 Amended......................................................4889
Corrected.......................................................4890
11.592 Amended......................................................4889
11.602 (b) amended..................................................4889
11.603 (a)(3) amended...............................................4889
11.611 (b) amended..................................................4889
11.690 Corrected....................................................4890
11.691 Corrected....................................................4890
11.724 (d)(2) amended...............................................4889
11.832 (c)(1)(ii)(B)(5)(i) amended..................................4889
11.841 (a), (d)(1), and (e) amended.................................4889
(a), (c), and (g) corrected.....................................4890
11.842 (b) corrected................................................4891
11.843 (b) Instructions corrected...................................4891
11.844 (c)(1)(iv)(D), (E), and (F) and Instructions amended.........4889
(a), (b)(1)(i), (2)(i), and (c) Instructions and Section
Instructions corrected..............................................4891
11.911 (e) corrected................................................4891
11.912 (b) corrected................................................4891
11.931 Assets corrected.............................................4891
16.2 (g) amended...................................................18770
16.4 (b) and (f) amended...........................................18770

[[Page 570]]

16.6 (b) amended...................................................18770
17 Removed.........................................................29090
21 Heading and authority citation revised..........................25871
21.0--21.7 (Subpart A) Heading added...............................25871
21.0 Heading revised...............................................25871
21.5 (c) revised...................................................25871
21.11 (Subpart B) Added............................................25871
22 Authority citation revised......................................18307
22.0 Revised.......................................................18307
22.1 (b) and (d) revised...........................................18307
22.3 Revised.......................................................18307
22 Appendix amended................................................18308
32 Policy statement................................................15305
32.8 Added.........................................................15304
Technical correction...........................................19164
Revised........................................................39642
Chapter II
201 Authority citation revised..............................11903, 16673
201.51 Revised................................11903, 16673, 26543, 30847
201.52 Revised................................11903, 16673, 26543, 30847
201.53 Removed.....................................................11904
204 Authority citation revised.....................................43176
204.2 Introductory text, (b) through (e), (f)(1) (i), (ii), and
(v) revised; (f)(3) added...................................9632
(h)(1)(ii)(A) first footnote 1, (h)(2)(ii) second footnote 1,
and (t)(1) footnote 2 redesignated as footnotes 10, 11, and 12;
new (h)(2)(ii) footnote 11 revised..................................9635
204.3 (a)(3)(i) and (h) revised.....................................9635
204.4 (a) amended; (b) and (c) removed; (d) through (g)
redesignated as (b) through (e); new (b), (c)(2)(ii),
(d)(2), and (e)(1) and (2) (i) and (iii) amended............9636
204.8 (a)(2)(i)(B)(5) and (3)(v) and (e) amended....................9636
204.9 (a) revised..................................................43176
205 Supplement II amended..........................................13485
207 OTC margin stock list......................3939, 15757, 27519, 39643
207.112 Added.......................................................1781
210.2 Text amended; footnote 1 revised.............................21744
210.3 (e) added....................................................21744
210.5 (a)(2), (b), and (c) revised.................................21745
210.6 (a)(1) revised; (c) added; eff. in part 1-1-90...............21745
210.9 (a)(2) amended; eff. 1-1-87..................................21745
210.12 (c)(10) revised; (c)(11) added..............................21745
210.38 (b) revised and redesignated as (b)(1); (b)(2) added; eff.
in part 1-1-90.............................................21745
211.5 (c)(2) amended...............................................25359
217 Authority citation revised......................................9637
217.0 Redesignated as 217.1 and revised.............................9637
217.1 Redesignated as 217.2; new 217.1 redesignated from 217.0 and
revised.....................................................9637
217.2 Redesignated as 217.3; new 217.2 redesignated from 217.1......9637
Revised.........................................................9638
217.3 Removed; new 217.3 redesignated from 217.2....................9637
Revised.........................................................9638
217.4 (d) temporarily suspended in part.............................8478
Removed.........................................................9637
Added...........................................................9638
217.5 Removed.......................................................9637
217.7 Removed.......................................................9637
220 OTC margin stock list......................3939, 15757, 27519, 39643
221 OTC margin stock list......................3939, 15757, 27519, 39643
224 OTC margin stock list......................3939, 15757, 27519, 39643
225 Authority citation revised.....................................36211
225.25 (b)(8) revised..............................................36211
(b)(9) removed; (b) (10) and (11) footnotes 8 through 10
redesignated as 12 through 14......................................36212
(b)(13) revised; (b)(19) through (24) added....................40000
225.128 Removed....................................................36212
225.135 Removed....................................................36212
225 Appendix A amended.............................................40969
226.23 (f)(2) revised..............................................45299
Effective date corrected.......................................47106
226 Supplement I amended...........................................11424
Supplement I corrected.........................................18876
227.11--227.16 (Subpart B) Staff guidelines........................39646
Exemption granted in part......................................41763
265 Authority citation revised.....................................18877
265.2 (c)(34) added.................................................7056
(a)(2) revised.................................................18876
(b)(10) redesignated as (b)(11); new (b)(10) added.............19825
(c)(35) and (f)(48) added......................................45877
Chapter III
303.0 (b)(7) added.................................................27827
303.4 (b) revised..................................................10803

[[Page 571]]

303.12 (c)(3)(iv), (7), and (12) revised...........................27827
304 Revised........................................................36684
308.81 Revised......................................................8643
309.4 (c)(2) removed; (c)(3) redesignated as (c)(2); (d) revised
10804
309.6 (c) introductory text and (7)(iv) corrected..................47208
329 Revised........................................................10808
330.0 Revision at 49 FR 13010 withdrawn..............................731
330.1 (b)(3) removed...............................................21138
330.2 Revision at 49 FR 13010 withdrawn..............................731
330.10 Revision at 49 FR 13010 withdrawn.............................731
330.13 Addition at 49 FR 13010 withdrawn.............................731
337 Authority citation revised.....................................23406
Authority citation corrected...................................29630
337.4 (h) revised....................................................880
(h)(3) revised..........................................23406, 45756
346.20 (a) correctly revised.......................................24302
347.3 (a) (1), (2), and undesignated text correctly removed........47209
352 Added...........................................................9643
353 Added..........................................................16486
Chapter IV
410 Added.....................................................4575, 4579
410.103 Corrected...................................................7543
410.150 (c) corrected...............................................7543
410.170 (c) revised...............................................4575 0
Chapter V
500 Authority citation revised.....................................27165
500.15 Added........................................................8791
500.17 Revised......................................................8791
500.18 Removed.....................................................27165
500.31 Amended.....................................................33584
500.40 Authority citation removed..................................27165
501 Authority citation revised.....................................27165
501.10 (d) added...................................................28221
501.11 Amended.....................................................27165
Revised........................................................28221
505a Authority citation revised....................................45879
505a.13 Added......................................................45879
505d Authority citation revised....................................15876
505d.1 (b) correctly revised.......................................15876
512 Authority citation revised......................................8791
512.5 (a) amended; authority citation removed.......................8791
522 Authority citation revised.....................................27165
Section authority citations removed............................27166
522.62 Added.......................................................28222
Correctly designated...........................................28690
522.90 Added.......................................................27165
523.2 Removed......................................................28222
524 Authority citation revised.....................................34951
524.1 Authority citation removed...................................34951
524.7 Authority citation removed...................................34951
524.13 Revised.....................................................34951
526 Revised........................................................10816
526.2 (h) revised..................................................34951
531 Authority citation revised.....................................10816
531.1 (a) and (d) amended..........................................33584
531.10 Removed; new 531.10 redesignated from 531.11 and authority
citation removed...........................................10816
531.11 Redesignated as 531.10 and authority citation removed.......10816
532 Authority citation revised.....................................10816
532.1 Amended...............................................10816, 34951
535 Exemption......................................................45879
541.17 Amended.....................................................33584
543 Authority citation revised; section authority citations
removed....................................................40147
543.2 (h)(3) revised...............................................40147
543.11-1 (c) amended...............................................33584
545 Authority citation revised........................9178, 10817, 30851
Section authority citations removed............................30851
545.11 (a) revised.................................................10817
545.12 Revised.....................................................10817
545.13 (a) amended.................................................30851
545.14 (a) revised.................................................10817
545.16 (c) revised.................................................10817
545.21 (a)(1) revised..............................................10817
545.38 (b)(3) amended..............................................33584
545.73 (a) amended.................................................33584
545.74 (b)(3)(i), (c)(3)(viii), and (d)(2) and (4) amended.........33584
(c)(5)(viii) amended; (c)(5)(ix) added.........................34952
545.77 (a) amended.................................................33584
545.79 Revised..............................................10817, 34952
545.82 (c)(2), (d)(4)(ii)(B), and (f)(3)(i) amended................33584
545.102 Revised.....................................................9178
545.115 (a) amended................................................33584
546 Authority citation revised; section authority citations
removed....................................................40147
546.2 (h)(1)(xii) amended..........................................33584
(i)(1)(vi) and (vii) added.....................................40147
550.2 (c)(2) and (4) amended.......................................33584

[[Page 572]]

552 Authority citation revised; section authority citations
removed....................................................40147
552.2-2 (d) revised................................................40147
552.4 (b)(8) amended...............................................40147
555 Authority citation revised.....................................10817
555.8 (c) revised..................................................10817
556 Authority citation revised.....................................16291
556.5 (a)(3) (v) and (vi) added; authority citation removed........16291
(a)(1) through (3)(iv) revised.................................16505
(b)(2) amended.................................................33584
556.7 Revised......................................................34952
556.9 Authority citation removed...................................16291
561 Authority citation revised.....................................10817
Authority citation revised; section authority citations
removed............................................................33584
561.2a Heading corrected............................................6394
561.11 Revised.....................................................10817
561.11a Revised....................................................10817
561.11b Amended....................................................10818
561.11c Amended....................................................10818
561.11d Amended....................................................10818
561.11e Amended....................................................10818
561.11f Added......................................................10818
561.11g Added......................................................10818
561.13 Heading and (a) revised; (b), (c), (d), (e), and (f)
amended....................................................33584
561.18 Added.......................................................33584
561.19 Added.......................................................33584
562 Authority citation revised.....................................40147
562.3 Authority citation removed...................................40147
562.4 Authority citation removed...................................40147
562.5 Authority citation removed...................................40147
562.7 Existing text designated as (a); new (b) added...............40147
563 Authority citation revised.........................731, 10818, 15877
Authority citation revised; section authority citations
removed............................................................33584
563.1 (a)(1) and (b)(2) amended; authority citation removed........10819
563.3-1 Revised; authority citation removed........................10819
563.3-2 Added......................................................10819
563.3-3 (d)(3) and (f) removed; (d)(4) and (g) redesignated as
(d)(3) and (f); new (f) amended............................10819
Authority citation removed.....................................10819
563.3-10 (b)(2), (c)(1)(i) and (3)(v), and (d) amended.............33584
563.4 (b), (c), and (d) amended....................................33584
563.6 Revised......................................................10819
563.7-2 Authority citation removed.................................10820
563.7-4 (i)(2)(v)(c), (vii)(b), and (x) amended....................33584
563.7-5 (a), (b), and (d)(1)(iii) amended..........................33584
563.8 (e) amended..................................................33584
563.8-1 (b)(2)(i) and (d)(1)(iv) amended...........................33584
563.8-4 (b)(5), (6), and (7) amended...............................33584
563.9-3 (a)(4), (b)(1) and (5), and (c) amended....................33584
563.9-4 Amended....................................................33584
563.9-6 Amended....................................................33584
563.9-8 (c)(2), (e), (f), and (g) amended..........................33584
(h) amended....................................................47003
563.13 (b)(2) revised; authority citation removed..................15877
Heading, (a)(1), and (b) revised; (a)(2), (c), (d), (e), and
(f) amended........................................................33584
(e), (g), and (i) removed; (f) and (h) redesignated as (e) and
(f)................................................................33587
563.13-1 Revised...................................................33587
563.13-2 (c) introductory text and (e)(3) amended..................33584
(c)(1) amended.................................................33588
563.15 (b)(1)(i) and (2) corrected..................................1246
563.17-1 (a)(2) correctly added......................................732
(c) revised....................................................30851
(c)(1)(viii), (5), (7), and (9) corrected......................33736
563.17-3 (c)(2) amended............................................33584
563.17-6 (b)(2) amended............................................33584
563.22 (e)(1)(xii) and (h)(1)(ii) amended..........................33584
(f)(1)(vi) added...............................................40148
563.31 Authority citation removed..................................10820
(b) revised....................................................26228
563.39-1 (c)(2) amended............................................33584
563b Authority citation revised; section authority citations
removed....................................................40148
563b.1 (a)(2) amended..............................................33584
563b.2 (a)(1) through (36) redesignated as (a)(2) through (36) and
(38); new (a)(1) and (37) added; (a)(5)(ii) revised........40148

[[Page 573]]

563b.3 (b)(2), (f)(1), and (g)(2) amended..........................33584
(c)(6)(i), (7) through (9), (d)(3) introductory text, (4), and
(5), (f)(3), (g)(1), and (i)(3) and (6) revised; (c)(23) and (24)
and (i)(5)(v) added................................................40148
(i)(8)(v) removed..............................................40150
563b.7 (a) and (e) revised.........................................40150
563b.10 (c) redesignated as (c)(1); (c)(2) added...................40150
563b.20 Revised....................................................40150
563b.21 Revised....................................................40150
563b.22 Redesignated as 563b.23 and revised; new 563b.22 added.....40151
563b.23 Redesignated as 563b.24....................................40150
Redesignated from 563b.22 and revised..........................40151
563b.24 Removed; new 563b.24 redesignated from 563b.23.............40150
Revised........................................................40151
563b.25 Removed; new 563b.25 added.................................40151
563b.26 (a) and (b) amended........................................33584
Revised........................................................40151
563b.27 (c) amended................................................33584
Revised........................................................40151
563b.28 Removed....................................................40151
Added..........................................................40152
563b.29 Revised....................................................40153
563b.30 Revised....................................................40153
563b.31 Removed....................................................40151
Added..........................................................40153
563b.32 (a) and (b) amended........................................33584
Removed........................................................40151
Added..........................................................40153
563b.33 Amended....................................................33584
Removed........................................................40151
563b.34 Revised....................................................40153
563b.35 Redesignated as 563b.36 and revised; new 563b.35 added.....40153
563b.36 (c)(1), (2), and (3) amended...............................33584
Redesignated as 563b.37 and revised; new 563b.36 redesignated
from 563b.35 and revised...........................................40153
563b.37 (f) and (g) amended........................................33584
Redesignated as 563b.38 and revised; new 563b.37 redesignated
from 563b.36 and revised...........................................40153
563b.38 Removed; new 563b.38 redesignated from 563b.37 and revised
40153
563b.39 Revised....................................................40154
563b.40 Revised....................................................40155
563b.41 Added......................................................40155
563b.101 Form PS corrected...........................................593
Form PS amended................................................33584
563c.10 (d)(2) amended.............................................33584
563c.102 Amended...................................................33584
563d.1 Amended......................................................7248
563d.2 Added........................................................7248
563g Revised........................................................8187
563g.3 (b) amended.................................................33584
563g.7 (a)(3) amended..............................................33584
563g.16 (b) amended................................................33584
563g.17 (d) amended................................................33584
564 Authority citation revised..............................10820, 12123
564.1 Authority citation removed...................................10820
564.2 Authority citation removed...................................10820
(b)(3) removed; (b) (4) and (5) redesignated as (b) (3) and
(4)................................................................12123
564.8 Authority citation removed...................................12123
569a.1 Authority citation removed..................................35501
569a.6 (c) revised.................................................35501
569a.7 Authority citation removed..................................35501
570 Authority citation revised.....................................29459
570.4 Amended......................................................33584
570.11 Authority citation removed..................................29459
570.12 Authority citation removed..................................29459
570.13 Added.......................................................29459
571 Authority citation revised.....................................10820
Authority citation revised; section authority citations
removed............................................................36529
571.1a (a) amended.................................................33584
571.5 (f) revised; authority citation removed......................10820
(c)(2) and (k)(3) amended......................................33584
(a) revised....................................................36529
571.6 (a)(2) and (d)(4) amended....................................33584
571.10 Revised.....................................................34952
572.1 (g)(1) and (j) amended.......................................33584
572.2 (c) amended..................................................33584
572a.5 (c)(2)(ii), (3), and (4) amended............................33584
574 Authority citation revised.....................................40155
574.2 (c)(3) revised...............................................40155
574.3 (c)(1)(vi) added.............................................40155
574.4 (d)(6) revised...............................................40155
574.8 (a) and (b)(1)(ii) amended...................................33584
(a)(1)(v) and (vi) added.......................................40156

[[Page 574]]

584 Authority citation revised; section authority citations
removed....................................................34952
584.2-1 (b)(9) and (10) amended; (b)(11) added.....................34952
584.5-1 Amended....................................................33584
Chapter VI
600 Revised........................................................41933
Effective date corrected.......................................44408
601 Authority citation revised.....................................41935
601.100 (b) revised................................................41935
Effective date corrected.......................................44408
601.101 Revised....................................................41935
Effective date corrected.......................................44408
601.110 Introductory text, (a), (b), (d) (4) and (5), and (e)
through (i) revised........................................41935
Effective date corrected.......................................44408
601.126 Revised....................................................41936
Effective date corrected.......................................44408
601.127 (c) and (e) revised........................................41936
Effective date corrected.......................................44408
601.130 Revised....................................................41936
Effective date corrected.......................................44408
601.140 Revised....................................................41936
Effective date corrected.......................................44408
601.141 Revised....................................................41936
Effective date corrected.......................................44408
601.150 Introductory text, (b), and (d) revised....................41936
Effective date corrected.......................................44408
601.165 (b) revised................................................41937
Effective date corrected.......................................44408
601.170 (a) (2), (3), and (4) revised..............................41937
Effective date corrected.......................................44408
601.171 Introductory text revised..................................41937
Effective date corrected.......................................44408
601.176 Revised....................................................41937
Effective date corrected.......................................44408
601.178 Revised....................................................41937
Effective date corrected.......................................44408
601.180 Revised....................................................41937
Effective date corrected.......................................44408
601.190 Removed....................................................41938
Effective date corrected.......................................44408
602 Authority citation revised...............................8656, 41938
602.200 Revised....................................................41938
Effective date corrected.......................................44408
602.205 Revised....................................................41938
Effective date corrected.......................................44408
602.210 Removed....................................................41938
Effective date corrected.......................................44408
602.215 Introductory text, (a), (b), (c), and (e) revised..........41938
Effective date corrected.......................................44408
602.220 Revised....................................................41938
Effective date corrected.......................................44408
602.235 Removed....................................................41938
Effective date corrected.......................................44408
602.240 Removed....................................................41938
Effective date corrected.......................................44408
602.245 Removed....................................................41938
Effective date corrected.......................................44408
602.250 (a) introductory text, (5), and (8) revised (effective
date pending)...............................................8656
602.260 Revised....................................................41938
Effective date corrected.......................................44408
602.261 (a), (b), (c), and (d) introductory text revised...........41939
Effective date corrected.......................................44408
602.265 (c), (d)(2), and (e) revised...............................41939
Effective date corrected.......................................44408
602.280 Revised....................................................41939
Effective date corrected.......................................44408
602.281 (a) through (j) revised....................................41940
Effective date corrected.......................................44408
602.282 Revised....................................................41940
Effective date corrected.......................................44408
602.283 Revised....................................................41940
Effective date corrected.......................................44408
602.284 Revised....................................................41940
Effective date corrected.......................................44408
602.285 (b) revised................................................41940
Effective date corrected.......................................44408
602.286 Revised....................................................41940
Effective date corrected.......................................44408
602.288 (b) and (c) revised........................................41940
Effective date corrected.......................................44408
602.289 Revised....................................................41941
Effective date corrected.......................................44408
603 Authority citation revised.....................................41941
603.300 (a) and (b)(1) revised.....................................41941
Effective date corrected.......................................44408
603.305 Revised....................................................41941
Effective date corrected.......................................44408
603.310 Revised....................................................41941
Effective date corrected.......................................44408
603.315 Revised....................................................41941
Effective date corrected.......................................44408
603.320 (a) introductory text and (3), (b), (c), and (d) revised
41941
Effective date corrected.......................................44408
603.325 Revised....................................................41942
Effective date corrected.......................................44408
603.330 Revised....................................................41942
Effective date corrected.......................................44408

[[Page 575]]

603.335 Introductory text and (b) revised..........................41942
Effective date corrected.......................................44408
603.340 (a) through (d) revised....................................41942
Effective date corrected.......................................44408
604 Heading and authority citation revised.........................41942
604.300 Redesignated as 603.400 and revised........................41942
Effective date corrected.......................................44408
604.305 Redesignated as 604.405 and (b) revised....................41942
Effective date corrected.......................................44408
604.310 Redesignated as 604.410 and revised........................41942
Effective date corrected.......................................44408
604.315 Redesignated as 604.415 and revised........................41943
Effective date corrected.......................................44408
604.320 Redesignated as 604.420 and revised........................41943
Effective date corrected.......................................44408
604.325 Redesignated as 604.425 and (a) and (c) revised............41943
Effective date corrected.......................................44408
604.330 Redesignated as 604.430 and (a) and (c) revised............41943
Effective date corrected.......................................44408
604.335 Redesignated as 604.435 and (a), (c), (d), and (e) revised
41943
Effective date corrected.......................................44408
604.340 Redesignated as 604.440 and revised........................41944
Effective date corrected.......................................44408
604.400 Redesignated as 604.300 and revised........................41942
Effective date corrected.......................................44408
604.405 Redesignated from 604.305 and (b) revised..................41942
Effective date corrected.......................................44408
604.410 Redesignated from 604.310 and revised......................41942
Effective date corrected.......................................44408
604.415 Redesignated from 604.315 and revised......................41943
Effective date corrected.......................................44408
604.420 Redesignated from 604.320 and revised......................41943
Effective date corrected.......................................44408
604.425 Redesignated from 604.325 and (a) and (c) revised..........41943
Effective date corrected.......................................44408
604.430 Redesignated from 604.330 and (a) and (c) revised..........41943
Effective date corrected.......................................44408
604.435 Redesignated from 604.335 and (a), (c), (d), and (e)
revised....................................................41943
Effective date corrected.......................................44408
604.440 Redesignated from 604.340 and revised......................41944
Effective date corrected.......................................44408
611 Authority citation revised..............................32441, 41944
611.100 Revised....................................................41944
Effective date corrected.......................................44408
611.200 (Subpart B) Removed........................................41944
Effective date corrected.......................................44408
611 (Subpart C) Removed............................................41944
Effective date corrected.......................................44408
611.400 (a) revised................................................41944
Effective date corrected.......................................44408
611.500 (Subpart E) Added..........................................41944
Effective date corrected.......................................44408
611.1000 Revised...................................................41944
Effective date corrected.......................................44408
611.1010 (i) revised...............................................41945
Effective date corrected.......................................44408
611.1090 Revised (effective date pending)..........................32441
Eff. 10-13-86..................................................37549
611.1115 Removed (effective date pending)..........................32441
Eff. 10-13-86..................................................37549
611.1120 (b) and (c) revised.......................................41945
Effective date corrected.......................................44408
611.1121 Introductory text, and (b), (c), and (d) revised
(effective date pending)...................................32441
Eff. 10-13-86..................................................37549
611.1122 (a) introductory text, (3), (b), (c), (e) introductory
text, (4), (g) and (i) revised (effective date pending)....32441
Eff. 10-13-86..................................................37549
611.1123 (a) introductory text and (7) revised (effective date
pending)...................................................32442
Eff. 10-13-86..................................................37549
611.1124 Revised (effective date pending)..........................32442
Eff. 10-13-86..................................................37549
611.1125 Revised (effective date pending)..........................32443
Eff. 10-13-86..................................................37549
611.1130 Redesignated from 611.1145.................................8666
(d) revised....................................................41945
Effective date corrected.......................................44408
611.1135 Redesignated from 611.1150.................................8666

[[Page 576]]

(a), (b) (2) and (7), (c), (d)(1) introductory text, (iv), and
(2), and (e) revised...............................................41945
Effective date corrected.......................................44408
611.1136 Redesignated from 611.1151.................................8666
611.1140--611.1142 (Subpart J) Added................................8666
Comment time extended...................................16291, 21331
611.1141 (b) introductory text corrected...........................10353
611.1142 (c) revised...............................................16292
(h), (l)(9), and (m) added.....................................21334
611.1145 Redesignated as 611.1130...................................8666
611.1150 (b)(3)(xii) removal eff. 12-15-85..........................2472
Redesignated as 611.1135........................................8666
611.1151 Redesignated as 611.1136...................................8666
611.1155--611.1158 (Subpart K) Added (effective date pending)......32443
Eff. 10-13-86..................................................37549
611.1160--611.1168 (Subpart J) Redesignated as Subpart L............8666
611.1160--611.1168 (Subpart L) Redesignated from Subpart J..........8666
611.1160 Revised (effective date pending)..........................32444
Eff. 10-13-86..................................................37549
611.1161 Revised (effective date pending)..........................32444
Eff. 10-13-86..................................................37549
611.1165 Revised (effective date pending)..........................32445
Eff. 10-13-86..................................................37549
611.1167 Revised (effective date pending)..........................32445
Eff. 10-13-86..................................................37549
611.1168 Revised...................................................41945
Effective date corrected.......................................44408
611.1170--611.1176 (Subpart K) Redesignated as Subpart M............8671
611.1170--611.1176 (Subpart M) Redesignated from Subpart K..........8671
611.1170 Revised (effective date pending)..........................32446
Eff. 10-13-86..................................................37549
611.1174 (c) and (d)(5) revised....................................41946
Effective date corrected.......................................44408
611.1175 Revised (effective date pending)..........................32446
Eff. 10-13-86..................................................37549
611.1176 Revised...................................................41946
Effective date corrected.......................................44408
611.1180--611.1183 (Subpart N) Added (effective date pending)......32447
Eff. 10-13-86..................................................37549
612 Authority citation revised.....................................41946
612.2130 (p) and (t) revised.......................................41946
Effective date corrected.......................................44408
612.2150 (c) introductory text revised.............................41946
Effective date corrected.......................................44408
612.2200 Heading and (a) revised...................................41946
Effective date corrected.......................................44408
612.2220 Revised...................................................41946
Effective date corrected.......................................44408
613 Authority citation revised.....................................41947
613.3170 (b) revised...............................................41947
Effective date corrected.......................................44408
614 Authority citation revised..............................39500, 41947
614.4010 Removed...................................................41947
Effective date corrected.......................................44408
614.4015 Removed...................................................41947
Effective date corrected.......................................44408
614.4020 Removed...................................................41947
Effective date corrected.......................................44408
614.4260 (c)(5) revised............................................41947
Effective date corrected.......................................44408
614.4330 (c)(12) removal, (d) introductory text revision, and
(d)(5) addition eff. 1-21-86................................4891
614.4365--614.4367 (Subpart K) Added...............................39500
614.4440--614.4444 (Subpart L) Heading revised.....................39501
614.4440 Revised...................................................39501
614.4441 Revised...................................................39502
614.4442 Revised...................................................39502
614.4443 Added.....................................................39502
614.4444 Added.....................................................39502
614.4450 Revised...................................................41947
Effective date corrected.......................................44408
614.4460 (a), (c), and (d) revised.................................41947
Effective date corrected.......................................44408
614.4510 (d) introductory text, (1), and (2) revised...............39502
614.4512 Removed...................................................39502
614.4513 Added.....................................................39502
614.4590 Revised...................................................41947
Effective date corrected.......................................44408
614.4710 Introductory text, (a)(1) introductory text and (ii),
(2), (3), and (4), (d) (1) and (2), and (e) revised........41947
Effective date corrected.......................................44408
614.4900 (i) revised...............................................41948

[[Page 577]]

Effective date corrected.......................................44408
615 Authority citation revised.....................................41948
615.5150 Revision eff. 1-31-86......................................4891
615.5250 (b) revised...............................................41948
Effective date corrected.......................................44408
615.5255 Added.....................................................39503
615.5453 Revised...................................................41948
Effective date corrected.......................................44408
615.5495 (b) revised...............................................41948
Effective date corrected.......................................44408
617 Heading and authority citation revised.........................41948
Effective date corrected.......................................44408
617.7000--617.7090 (Subpart A) Heading revised.....................41948
Effective date corrected.......................................44408
617.7000 Revised...................................................41948
Effective date corrected.......................................44408
617.7020 Revised...................................................41948
Effective date corrected.......................................44408
617.7030 Revised...................................................41948
Effective date corrected.......................................44408
617.7050 Removed...................................................41949
Effective date corrected.......................................44408
617.7060 Removed...................................................41949
Effective date corrected.......................................44408
617.7070 Introductory text and (a) revised.........................41949
Effective date corrected.......................................44408
617.7080 Revised...................................................41949
Effective date corrected.......................................44408
617.7100 Removed...................................................41949
Effective date corrected.......................................44408
618 Authority citation revised..............................39503, 41949
618.8010 Removed...................................................39503
618.8020 Removed...................................................39503
618.8100 Introductory text revised.................................41949
Effective date corrected.......................................44408
618.8150 Removed...................................................41949
Effective date corrected.......................................44408
618.8160 (a) and (b) revised.......................................41949
Effective date corrected.......................................44408
618.8200 Removed...................................................41949
Effective date corrected.......................................44408
618.8310 Revised...................................................39503
618.8340 (c) revised...............................................41949
Effective date corrected.......................................44408
618.8325 Added.....................................................39504
618.8350 Removed...................................................41949
Effective date corrected.......................................44408
618.8400 Revised...................................................41950
Effective date corrected.......................................44408
618.8410 Revised...................................................41950
Effective date corrected.......................................44408
620 Added (effective date pending)..................................8656
Authority citation revised..............................21340, 42086
620.1 (c) revised..................................................42086
620.2 (b) revised; (k) added (effective date pending)..............21340
Eff. 7-29-86...................................................29459
620.3 (f)(1)(i) and (iii), (g)(1)(iii)(B) and (2)(i), and (i)
revised (effective date pending)...........................21341
Eff. 7-29-86...................................................29459
(j)(2), (3)(i) introductory text and (ii) introductory text,
(A), (B), (D), (E), (F), and (G) revised; (j)(3)(ii)(H) and (I)
removed............................................................42087
(j)(3)(i) introductory text correctly designated and correctly
revised............................................................44783
620.10--620.11 (Subpart B) Added (effective date pending)..........21341
Eff. 7-29-86...................................................29459
620.20 (c) revised (effective date pending)........................21343
Eff. 7-29-86...................................................29459
621 Added (effective date pending)..................................8661
Authority citation revised.....................................21340
621.2 (a)(15)(iii) revised (effective date pending)................21343
Eff. 7-29-86...................................................29459
(a)(15)(iv) removed; (a)(11), (15)(iii), and (18)(ii) revised
42087
(a)(11)(iii) and (15)(iii) correctly revised; (a)(11)
republished........................................................44783
622 Added (effective date pending).................................21139
Eff. 7-28-86...................................................29460
623 Added (effective date pending).................................21147
Eff. 7-28-86...................................................29460
624 Added..........................................................46600
Chapter VII
Chapter VII Interpretation and policy statement.............16292, 42083
701 Authority citation revised; section authority citations
removed....................................................10360
701.27 Revised.....................................................10360
709 Removed........................................................33029
740 Revised........................................................37556
741 Authority citation revised.....................................27523
Revised........................................................37558
741.5 (b)(1) revised...............................................27523
745 Revised........................................................37560

[[Page 578]]

790 Authority citation revised; section authority citations
removed....................................................33588
790.2 Revised......................................................33588
794 Added...................................................22889, 22896
794.170 (c) revised................................................22889
795.1 (b) table amended (OMB numbers)...............................4158
Chapter XII
Chapter XII Removed.................................................9767
1201--1204 Removed..................................................9767

1987

12 CFR
52 FR
Page
Chapter I
4.1a (a), (b) (1), (2), and (3) introductory text and (vii)
revised....................................................46062
5.1 (a) revised.....................................................5942
5.3 Revised.........................................................5942
21 Heading and authority citation revised...........................2859
Heading revised................................................28682
21.5 Revised.......................................................28682
(a) corrected..................................................31478
21.21 (Subpart C) Added.............................................2859
35 Added (temporary)...............................................41961
Chapter II
201.51 Revised.....................................................37436
201.52 Revised.....................................................37436
202 Determination..................................................35537
202 Supplement I and Appendix B amended............................10733
203 Exemption terminated...........................................10365
204 Authority citation revised...............................2215, 46451
204.2--204.4 Authority citations removed............................2215
204.2 (a)(1)(v) and (vii)(C) amended...............................47694
(c)(1)(iv)(E), footnote 4 amended..............................47695
204.9 Authority citation removed....................................2215
(a) (1) and (2) revised........................................46451
204.122 (b) revised................................................47694
204.123 Amended....................................................47695
204.124 (a) amended................................................47695
204.125 Redesignated from 217.126 and revised......................47695
204.126 Redesignated from 217.137 and revised......................47695
204.127 Redesignated from 217.138 and revised......................47695
204.128 Redesignated from 217.146 and revised......................47696
204.129 Redesignated from 217.153 and revised......................47696
204.130 Redesignated from 217.157 and revised......................47696
204.131 Redesignated from 217.159 and revised......................47697
205.14 (a)(2) and (b) revised......................................30911
205 Supplement II amended..........................................10734
Appendix A amended.............................................30912
206 Removed........................................................49375
207 OTC margin stock list......................3218, 15941, 28538, 41963
208 Authority citation revised........................2859, 42090, 49375
208.14 Added........................................................2860
208.15 Added.......................................................42090
Addition comment time extended.................................46984
208.16 Added.......................................................49376
211 Authority citation revised.....................................30914
211.5 (f) added....................................................30914
217.101 Removed....................................................47698
217.103 Removed....................................................47698
217.105--217.112 Removed...........................................47698
217.113 Redesignated as 217.601....................................47698
217.114--217.121 Removed...........................................47698
217.124 Removed....................................................47698
217.126 Redesignated as 204.125 and revised........................47695
217.131--217.133 Removed...........................................47698
217.134 Redesignated as 217.301 and revised........................47698
217.135--217.136 Removed...........................................47698
217.137 Redesignated as 204.126 and revised........................47695
217.138 Redesignated as 204.127 and revised........................47695
217.139--217.141 Removed...........................................47698
217.144 Removed....................................................47698
217.146 Redesignated as 204.128 and revised........................47696
217.147 Redesignated as 217.302 and revised........................47698
217.148 Redesignated as 217.602....................................47698
217.150 Removed....................................................47698
217.151 Redesignated as 217.603....................................47698
217.152 Removed....................................................47698
217.153 Redesignated as 204.129 and revised........................47696
217.155--217.156 Removed...........................................47698
217.157 Redesignated as 204.130 and revised........................47696
217.158 Removed....................................................47698
217.159 Redesignated as 204.131 and revised........................47697

[[Page 579]]

217.160 Removed....................................................47698
217.161 Redesignated as 217.201 and revised........................47699
217.201 Redesignated from 217.161 and revised......................47699
217.301 Redesignated from 217.134 and revised......................47698
217.302 Redesignated from 217.147 and revised......................47698
217.601 Redesignated from 217.113..................................47698
217.602 Redesignated from 217.148..................................47698
217.603 Redesignated from 217.151..................................47698
220 OTC margin stock list......................3218, 15941, 28538, 41963
220.2 (r)(2)(iii) amended; (r)(3) added; (r) introductory text
republished................................................32292
220.3 (e)(4) added; eff. 1-25-88...................................48805
221 OTC margin stock list......................3218, 15941, 28538, 41963
221.3 (b) revised; (c) (i) and (ii) redesignated as (c) (1) and
(2); new (c)(1) revised....................................35683
224 OTC margin stock list......................3218, 15941, 28538, 41963
225.43 (a) revised.................................................23023
(c)(2) and (d) revised.........................................23024
225.123 (e)(4) removed.............................................45161
226 Authority citation revised.....................................43181
226.1 (a), (d)(4), and (e) revised.................................43181
Technical correction...........................................45611
226.17 (b) revised.................................................48670
226.18 (f) and footnote 43 revised.................................48670
226.19 Revised.....................................................48670
226.20 (c) added...................................................48671
226.22 Footnote 45a redesignated as 45d............................48670
226.30 Added.......................................................43181
Technical correction...........................................45611
226 Supplement I amended...........................................10878
Appendix H amended.............................................48671
227.14 Exemption granted in part....................................2400
261 Policy statement...............................................15707
261.4 (g) removed..................................................15300
261.8 Added........................................................15300
265.1a (a)(2) amended..............................................43318
265.2 (b) (10) and (11), (c) (26), (29) and (34), and (f) (26) and
(48) amended; (c) introductory text and (g) revised........43318
(b)(7) revised.................................................48806
Chapter III
303.0 Revised......................................................35402
303.2 (c)(1) and (c)(2) heading removed; (c)(2) (i) and (ii)
redesignated as (c) (1) and (2); new (c) (1) and (2)
amended....................................................35403
303.6 (l) removed; (m) and (n) redesignated as (l) and (m); (b)
and (e) revised............................................35403
303.7 Revised......................................................35404
303.8 Revised......................................................35407
303.9 Revised......................................................35408
303.10 Revised.....................................................35410
303.11 Revised.....................................................35410
303.12 Removed; new 303.12 redesignated from 303.13................35411
303.13 Redesignated as 303.12......................................35411
304.6 (a) revised; eff. 1-20-88....................................48184
308.01 (b) amended.................................................35411
308.03 (c) (1), (2) (i) and (ii) amended; (c)(2)(iii) and (3)
added......................................................35411
309.5 (a)(1), (b), and (c)(7) revised..............................23426
Technical correction...........................................24090
310 Heading revised................................................34209
310.9 Revised......................................................34209
310.13 (a) amended.................................................34209
324 Added; interim; eff. to 6-30-88................................41968
324.7 OMB number corrected.........................................43190
325.2 (a), (j) and (k) revised.....................................41972
325.3 (c)(4) revised...............................................41973
325.5 (c) revised; (f) added.......................................41973
325.101 Added......................................................41973
325.102 Added......................................................41973
326 Heading and authority citation revised..........................2860
326.0--326.7 (Subpart A) Heading added..............................2860
326.0 Heading revised...............................................2860
326.8 (Subpart B) Added.............................................2860
337 Authority citation revised.....................................39216
337.4 (h)(3) revised........................................23544, 39216
(a)(2)(iii) and footnote 5 and (c)(5) and footnote 8 removed;
(a)(2) (iv) through (ix), (c)(6), and footnotes 6 and 7 and 9
through 12 redesignated as (a)(2) (iii) through (viii), (c)(5),
and footnotes 5 through 10; footnotes 4 and new 6 and (h) revised
47386
341.4 (a) revised...................................................1182
346.19 (d)(6) revised..............................................34210
346.23 Amended.....................................................49156
350 Added; eff. 2-1-88.............................................49379
Chapter IV
404 Authority citation revised.....................................37438

[[Page 580]]

404.3 (d) amended..................................................37438
404.4 (c) (1), (3), and (4) amended; (c) (6) and (7) and (d)
removed; (c)(8) redesignated as (c)(6).....................37438
404.6 Revised......................................................37438
Chapter V
500.10 Amended......................................................7120
500.31 Revised......................................................5942
(a) (1) and (2) amended........................................10557
500.32 (a), (b) (1), (3), (5), (6), (8), (9), (10), and (12), and
(c) introductory text revised...............................7120
(c) introductory text corrected.................................8550
505 Authority citation revised......................................7121
505.3 (c) and (d) removed; (e) and (f) redesignated as (c) and
(d); new (d) revised........................................7121
505.4 (d) amended; authority citation removed.......................7121
505a Authority citation revised.....................................7121
505a.3 (c) revised..................................................7121
505b Authority citation revised.....................................7121
505b.7 Amended......................................................7121
508 Authority citation revised; section authority citations
removed.....................................................7121
508.13 Amended......................................................7121
510a Added.........................................................17392
514 Added..........................................................41701
522 Authority citation revised.....................................33402
522.81 (a) (3) and (4) amended; (a)(5) added.......................33402
522.87 (a) designation removed......................................7122
522.90 (a)(2) and (c) revised; (b)(2) amended......................37763
523 Authority citation revised; section authority citations
removed.....................................................7122
523.3-2 Heading and (b) revised; (c) through (g) added.............30142
523.3-3 Amended.....................................................7122
523.10 (h)(5) amended...............................................7122
524 Authority citation revised.....................................49381
524.11 Revised.....................................................49381
545.3 Removed......................................................36751
545.11 (a) heading added; (b) amended...............................7122
545.74 (d)(4) amended...............................................7122
(d)(4) amendment at 52 FR 7122 removed.........................36751
545.82 (e) amended..................................................7122
545.102 (b) revised................................................24135
545.115 (b) revised................................................18350
Eff. date deferred to 1-1-89...................................39068
545.138 (f) heading added...........................................7122
546.2 (d)(3) and (h)(1)(i) revised..................................9800
552 Authority citation revised; section authority citations
removed.....................................................7122
552.2-2 (d) amended.................................................7122
(d) amendment at 52 FR 7122 removed............................36751
552.8 (b) and (f)(2) amended; (f)(1) revised........................7122
552.13 (h)(2) amended...............................................7122
(i)(3) revised; (j)(3) amended..................................9800
552.14 (b) amended............................................7122, 9800
555 Authority citation revised; section authority citations
removed.....................................................7122
555.10 Amended......................................................7122
555.12 Amended......................................................7122
555.17 (d)(2) amended...............................................7122
556 Authority citation corrected....................................8550
556.5 (i) amended...................................................7123
556.8 Amended.......................................................7123
561 Authority citation revised......................................7123
561.8 (b) corrected................................................36751
561.11a (f)(2) introductory text revised............................8242
561.11f (a)(3)(ii) amended..........................................8242
561.11g (a) amended.................................................8242
561.13 (c) (1) and (2) amended......................................7123
Revised........................................................18350
Eff. date deferred to 1-1-89...................................39068
561.15 (b), (d)(2), and (j) (1) and (3) amended.....................7123
(j)(1) correctly designated.....................................8550
(j)(1) corrected...............................................36751
561.17 (a) amended..................................................7123
563.4 (d)(3) amended................................................7123
563.6 (d) revised...................................................8242
563.7-4 (i)(2)(iv) amended..........................................7123
563.8 (c) heading added.............................................7123
563.8-1 (d)(1)(v)(c) amended........................................7123
563.9-7 (b) amended.................................................7123
563.9-8 (h) amended; interim........................................7822
(b)(1)(i), (g)(6), and (h) amended; (f) text designated as
(f)(1); (b)(11), (c)(3), (f)(2), and (g)(3)(iv) added; (c)(2) and
(g)(2)(v) and (3)(ii) introductory text and (A) through (C)
revised.............................................................8205

[[Page 581]]

Heading, (a), (c)(2) (i) and (ii), and (e)(2) revised;
nomenclature change; (b)(1) introductory text and (6)(ii) and
(e)(1) amended; (b)(6)(iii), (9), (10), and (11) redesignated as
(b)(6)(iv), (10), (11), and (12); new (b)(6)(iii) and (9) and
(f)(3) added.......................................................23802
563.13 (b)(4)(i)(E) revised........................................23641
Nomenclature change............................................23802
(b)(4)(ii)(D)(2)(iii) amended; (b)(4)(ii)(D)(2)(iv)
redesignated as (b)(4)(ii)(D)(2)(v); new (b)(4)(ii)(D)(2)(iv)
added; (b)(4)(ii)(E)(2) and (F)(2) revised.........................23803
563.13-1 (e) introductory text amended..............................7123
563.13-2 (a)(4) and (e)(1)(i) amended..............................23802
563.15 Heading and (b)(1) introductory text revised; (a) (3) and
(4) added; (c) and (d) redesignated as (d) and (e); new
(c) added..................................................33402
563.16 Amended.....................................................33402
563.17-1 (c)(8) amended.............................................7123
(c)(8) corrected................................................8550
563.17-4 (g) removed...............................................18351
Eff. date deferred to 1-1-89...................................39068
563.17-7 Added......................................................2860
OMB number......................................................3207
563.22 (b) amended; (d) and (e)(1)(i) revised.......................9800
563.23-1 (f)(3)(i) revised..........................................7123
(a) and (b) revised; (f) removed; (g) redesignated as new (f)
18351
Eff. date deferred to 1-1-89...................................39068
563.23-2 Removed...................................................18351
Eff. date deferred to 1-1-89...................................39068
563.23-3 (c) revised; (d) added....................................18352
Eff. date deferred to 1-1-89...................................39068
563.27 (b) amended..................................................7123
563.31 (b)(1) amended..............................................36751
563.35 (b) and (d) introductory text amended........................7123
563.37 (b) amended.................................................23802
563.38 (a) amended.................................................23802
563.39 (b) (2) and (3) revised......................................4892
563.43 (b)(5) amended...............................................7123
563.45 (c) and (d) amended..........................................7123
563b Authority citation revised..............................7123, 36751
563b.1 (a)(2) removed; (a)(1) designation removed...................7123
Amendatory instruction corrected................................8550
563b.2 (a)(19) revised..............................................7123
563b.3 (i)(3) revised..............................................42092
563b.8 (w)(2) revised..............................................42092
563b.101 Form PS amended.....................................7124, 36752
563c Authority citation revised..............................7124, 18352
563c.14 (f) added..................................................18352
Eff. date deferred to 1-1-89...................................39068
563c.102 Amended....................................................7124
Corrected.......................................................8550
564 Authority citation revised......................................7124
564.9 (b) amended...................................................7124
(b) revised....................................................10558
569 Authority citation revised......................................7124
569.3 (b)(2) amended; (c)(2) removed; (c)(1) designation removed
7124
570 Authority citation revised.....................................18352
570.4 Heading and (a) revised......................................18352
Eff. date deferred to 1-1-89...................................39068
571 Authority citation revised; section authority citations
removed.....................................................7124
Authority citation revised.....................................23941
571.5 (a) revised..................................................23941
Effective date corrected.......................................26295
571.8 Amended.......................................................7124
571.12 Added.......................................................39067
572 Authority citation revised......................................7124
572.1 (c)(2) and (e)(3) amended.....................................7124
572a Authority citation revised.....................................9801
572a.5 (c)(5) amended...............................................9801
574 Authority citation revised......................................7124
574.2 (a)(2) revised; (k)(2) amended................................9801
574.3 (c)(2)(iii) amended...........................................7124
(c)(2)(iv)(A) revised...........................................9801
574.4 (d)(5) revised................................................9801
574.5 (a)(1) revised................................................9801
574.6 (a)(3) revised; (e) and (f)(2) amended........................9801
(b) (1) and (6), (c) (1) and (2), (d)(1), and (e) amended; (b)
(2), (3), and (5) and (d)(2) revised...............................48520
574.7 (e), (f), (g)(1)(ii) introductory text and (iii) revised......9801
574.8 (a)(3)(iv) revised............................................9802
584 Authority citation revised; section authority citations
removed.....................................................7124
584.1 (a)(4) revised...............................................36752
584.2-1 (a) and (b)(1)(v) amended...................................7124

[[Page 582]]

584.4 (a) amended...................................................7124
584.6 (c)(1) amended................................................7124
(d) and (f) revised; (g) added.................................49383
592 (Subchapter H and Part) Added..................................33403
Chapter VI
602.250 (a) introductory text, (5) and (8) revision eff. 5-6-86.....2105
605 Authority citation revised.....................................18200
605.502 (d), (f) and (j) revised...................................18200
611 Authority citation corrected...................................48094
611.1020 Revised (effective date pending)..........................36013
Eff. 10-28-87..................................................41401
611.1021 Removed (effective date pending)..........................36013
Eff. 10-28-87..................................................41401
611.1022 Removed (effective date pending)..........................36013
Eff. 10-28-87..................................................41401
611.1030 Removed (effective date pending)..........................36013
Eff. 10-28-87..................................................41401
611.1031 Removed (effective date pending)..........................36013
Eff. 10-28-87..................................................41401
611.1140 (b) introductory text, (1)(ii) and (2)(v), (vi) (B), (C),
(F), and (H) and (4) (i), (ii) and (iii) revised;
(b)(1)(iii) added (effective date pending).................12142
Eff. 5-20-87...................................................19129
611.1142 (i) introductory text, (3) and (l)(3) revised; (l)(10)
added (effective date pending).............................12143
Eff. 5-20-87...................................................19129
614 Authority citation revised.....................................43740
Authority citation correctly revised...........................44970
Authority citation corrected...................................46151
614.4341 Added (effective date pending)............................43740
Eff. 12-21-87..................................................48673
614.4366 (e) revised (effective date pending)......................12147
Eff. 5-20-87...................................................19129
614.4367 (a) introductory text revised; (g) and (h) added
(effective date pending)...................................12147
Eff. 5-20-87...................................................19129
614.4440 (c) revised (effective date pending)...............12147, 45162
Eff. 5-20-87...................................................19129
614.4442 (b) revised (effective date pending)......................12147
Eff. 5-20-87...................................................19129
Revised (effective date pending)...............................45162
614.4443 Existing text designated as (a); (b) added (effective
date pending)..............................................12147
Eff. 5-20-87...................................................19129
620 Addition eff. 5-6-86............................................2105
Hearings........................................................8581
620.3 Technical correction..........................................1440
621 Addition eff. 5-6-86............................................2105
621.2 Technical correction..........................................1440
624 Hearings........................................................2672
Heading and authority citation revised.........................13429
Authority citation revised.....................................43740
624.100 Revised (effective date pending)...........................43741
Eff. 12-21-87..................................................48673
624.103 (b) revised (effective date pending).......................43741
Eff. 12-21-87..................................................48673
624.104 Introductory text revised...................................2671
Redesignated as 624.105; new 624.104 added.....................13429
624.105 Redesignated from 624.104..................................13429
Amended........................................................37132
(b) introductory text revised (effective date pending).........43741
Eff. 12-21-87..................................................48673
624.110 Revised....................................................13429
624.111 Revised.....................................................2671
(b) revised (effective date pending)...........................43741
Eff. 12-21-87..................................................48673
624.113 (b) introductory text and (1) introductory text revised.....2671
(a) and (b) introductory text and (1) introductory text
revised............................................................13429
(a), (b) introductory text, (1) introductory text and (ii)
revised (effective date pending)...................................43741
(b) introductory text correctly revised........................44970
Eff. 12-21-87..................................................48673
624.114 Removed (effective date pending)...........................43741
Eff. 12-21-87..................................................48673
Chapter VII
Chapter VII Interpretation and policy statement....................35231
700 Authority citation revised.....................................34895

[[Page 583]]

700.1 (h)(1) revised...............................................34895
701.13 Removed.....................................................43318
701.21 (c)(7) revised...............................................8061
(a), (c) (5) and (8), and (d)(5) revised; (h) added............12368
701.27 (c)(3) revised; (d)(6) redesignated as (d)(6)(i) and
amended; (c)(5) and (d)(6) (ii) and (iii) added............43570
701.36 (b)(6) revised; (e) (1) through (3) redesignated as (e)(1)
(i) through (iii) and revised; (b)(8) and new (e) (2) and
(3) added..................................................43570
703.2 (i) revised; (p) through (t) redesignated as (q) through
(u); new (p) added.........................................43570
703.4 (e) amended; (f) and (g) added...............................43570
705 Revised........................................................34893
706 Added; interim.................................................35061
Revised........................................................46586
708 Revised........................................................12374
721 Authority citation revised.....................................43571
721.2 (c) revised; (d) and (e) added...............................43571
741 Authority citation revised.....................................12370
741.3 Redesignated as 741.4; new 741.3 added.......................12370
741.4 Redesignated as 741.5; new 741.4 redesignated from 741.3.....12370
741.5 Redesignated as 741.6; new 741.5 redesignated from 741.4.....12370
741.6 Redesignated as 741.7; new 741.6 redesignated from 741.5.....12370
741.7 Redesignated as 741.8; new 741.7 redesignated from 741.6.....12370
741.8 Redesignated as 741.9; new 741.8 redesignated from 741.7.....12370
741.9 Redesignated as 741.10; new 741.9 redesignated from 741.8....12370
741.10 Redesignated from 741.9.....................................12370
748 Heading and authority citation revised..........................2861
748.2 Added.........................................................2861
(b) revised.....................................................8062
790.4 (a)(7) revised...............................................27987
790.7 Revised......................................................27987
795.1 (b) table amended (OMB numbers)..............................28132

1988

12 CFR
53 FR
Page
Chapter I
4.1a (b)(1) table amended...........................................6573
(a) (20) and (21) revised......................................20611
5.11 (g) removed...................................................18546
5.14 Added.........................................................18546
5.20 (d)(1)(iii) revised; (h) removed..............................18546
5.21 (c), (d), and (f) revised; (g) and (j) removed; (h) and (i)
redesignated as (g) and (h); new (g) revised...............18546
5.22 (e) removed...................................................18546
5.24 (e) removed...................................................18546
5.26 (d) revised; (i) removed......................................18546
5.27 (f) removed...................................................18546
5.30 (h) removed...................................................18546
5.31 (i) revised; (k) removed......................................18546
5.33 (b) (3) through (6) redesignated as (b) (4) through (7);
(b)(2) concluding text designated as (b)(3) and revised;
(h) and (i) removed........................................18547
5.34 (e) removed...................................................18547
5.35 (g) removed...................................................18547
5.40 (j) removed...................................................18547
5.42 (f) removed...................................................18547
5.46 (f)(1)(ii), (2), (3), (5), and (6) and (g)(1) revised; (g)(3)
added; (i) removed.........................................18547
5.47 (i) removed...................................................18548
5.48 (g) removed...................................................18548
5.50 (f)(5) revised; (i) removed...................................18548
7.5015 Revised.....................................................51535
7.8000 (d) added...................................................51535
8 Authority citation revised.......................................48627
8.1 Revised; eff. 1-3-89...........................................48627
8.2 (a) table revised; eff. 1-3-89.................................48627
11.410 (e)(2) amended..............................................43678
11.590 Amended.....................................................43678
11.844 (c)(1)(iv) (D), (E), and (F) and Instructions amended.......43678
18 Revised..........................................................3866
21.11 Revised.......................................................7884
29 Note added.......................................................7891
Removed; eff. 10-1-88...........................................7891
30 Removed..........................................................7891
32 Authority citation revised......................................23753
32.2 (d) revised (temporary).......................................23753
(d) corrected..................................................40721
32.8 (a)(3) and (b) amended.........................................2998
34 Authority citation revised.......................................7891
34.1--34.4 (Subpart A) Heading added................................7891
34.4 Added..........................................................7891
34.5--34.12 (Subpart B) Added.......................................7891

[[Page 584]]

35 Revised.........................................................28376
Chapter II
201.51 Revised.....................................................32603
201.52 Revised.....................................................32603
202 Determination...........................................26987, 45756
202 Supplement I amended...........................................11045
203 Revised........................................................31687
Data reporting.................................................47662
203 Appendix A revised.............................................52657
204.9 (a) revised..................................................49116
204.132 Added......................................................24931
205 Supplement II amended..........................................11046
205.6 (c) revised..................................................52653
206 Supplemental notice..............................................492
207 OTC margin stock list......................2999, 15195, 28189, 43679
OTC margin stock list at 53 FR 15195 corrected.................17689
208 Authority citation revised; section authority citations
removed....................................................20811
208.15 (a)(1)(iv) and (2), (b)(1), (d)(3), (e)(4), (f)(1) and
(2)(vi) revised; (a)(4) added..............................20812
208.16 Supplemental notice...........................................492
210 Heading and authority citation revised.........................21984
210.1--210.15 (Subpart A) Heading revised..........................21984
210.1 Revised......................................................21984
210.2 (e), (f), (g) undesignated flush text and (j) revised; (g)
footnote 2 removed; (k) and (l) redesignated as (l) and
(m); new (k) added; new (l) introductory text and
undesignated flush text revised............................21984
210.3 (b) revised..................................................21984
210.6 (a)(1) revised...............................................21984
210.7 (b) revised..................................................21985
210.9 (e) amended; footnote 3 redesignated as footnote 2...........21985
210.10 Revised.....................................................21985
210.12 Revised.....................................................21985
210.13 (a) revised.................................................21986
211.5 (f) revised...................................................5363
220 OTC margin stock list......................2999, 15195, 28189, 43679
OTC margin stock list at 53 FR 15195 corrected.................17689
220.2 (r) introductory text republished; (r)(4) added..............30831
221 OTC margin stock list......................2999, 15195, 28189, 43679
OTC margin stock list at 53 FR 15195 corrected.................17689
224 OTC margin stock list......................2999, 15195, 28189, 43679
OTC margin stock list at 53 FR 15195 corrected.................17689
225.2 (a) through (l) redesignated as (b) through (g) and (i)
through (n); new (a) and (h) added; new (b) revised........37744
225.51--225.52 (Subpart F) Added...................................37744
225 Appendixes heading revised.....................................37744
225.145 Added......................................................37746
226 Determination...................................................3332
226.19 (b)(2)(viii) corrected........................................467
226 Appendix H corrected.............................................467
Supplement I amended....................................11050, 11058
Supplement I corrected.........................................13379
227.11--227.16 (Subpart B) Staff guidelines........................29225
227.14 Exemption granted in part...................................29223
229 Added..........................................................11837
Revised........................................................19433
229.2 (r), (s), (z) and (dd) revised; interim......................31292
(z)(4) revised.................................................44324
229.11 Eff. to 9-1-90..............................................19372
229.12 Eff. 9-1-90.................................................19372
229.16 (b)(2) footnote 1 added; interim............................31292
(b)(2) amended.................................................44324
229.30 (a)(1) revised; interim.....................................31292
229.31 (a)(1) revised; interim.....................................31292
229 Appendix A corrected....................................24251, 31416
Appendixes A, C and E amended; interim.........................31293
Appendix F added...............................................32356
Appendix E amended.............................................44325
Appendix F amended......................................44328, 51748
Appendix F amended; correction.................................47524
261 Revised........................................................20815
261.5 (d)(5) correctly revised.....................................23383
265.2 (f)(26) amended; (f)(26)(iii) added...........................5152
(b)(12) added..................................................11641
(c)(36) added..................................................12510
(b)(13) added..................................................15801
(c)(18) revised; (c)(19) removed; (f)(17) amended..............22130
Chapter III
303 Authority citation revised.....................................52112
303.4 (b)(3) revised; (b)(6) added.................................52112
308 Revised........................................................51668
310.13 (a) amended..................................................7340

[[Page 585]]

324.2 Revised......................................................22133
(a)(3) correctly revised.......................................36963
324.3 (a)(2) revised...............................................22134
324.5 (c) revised..................................................22134
324.6 (d) revised..................................................22134
324.7 (a) and (b)(6) introductory text revised.....................22134
326 Heading and authority citation revised.........................17917
326.0 Introductory text and (a) amended............................17917
326.1 (a), (c), and (d) revised....................................17917
326.2 Revised......................................................17917
326.3 (a) and (c) amended..........................................17917
326.4 (a) amended..................................................17917
326.5 (a), (c), and (d) amended; (b) removed; OMB number...........17917
326.6 Amended......................................................17917
326.7 Amended......................................................17917
326.8 (a) amended; footnote 3 added................................17917
329 Authority citation revised.....................................47523
329.1 Footnote 1 removed; footnote 2 redesignated as footnote 1
and revised................................................47523
336 Revised........................................................47930
337.4 (a)(2)(vi) correctly redesignated as (a)(2)(v); (h)(3)
corrected....................................................597
(h)(1), (2), and (3) corrected..................................2223
338.1 (f) revised..................................................30837
338.4 (a)(2)(i)(G) and (ii)(C)(1)(v) revised.......................30838
346.23 Amended..............................................21986, 51094
Chapter V
500.13 (a) amended.................................................33104
500.19 Revised.....................................................33104
500.21 Removed.....................................................33104
501.10 Introductory text revised....................................1003
(a) revised....................................................33104
501.11 Heading and (a) revised; (i) added...........................1003
(d) revised....................................................33104
505.4 (d) and (e) revised..........................................16055
510a.6 Revised.....................................................30251
522.10 Revised.....................................................18262
522.26a Added; eff. to 12-31-88....................................44396
522.72 Revised.....................................................52655
524.6 Amended......................................................30252
525 Authority citation revised; section authority citations
removed......................................................320
525.1 Revised........................................................320
545.33 (e) introductory text and (4) revised; (f) removed; (g) and
(h) redesignated as (f) and (g); new (h) added.............18265
545 Appendix removed...............................................18266
547 Interim procedures.............................................13105
Interim procedures removed.....................................43852
548 Interim procedures.............................................13105
Interim procedures removed.....................................43852
549 Interim procedures.............................................13105
Authority citation revised.....................................25132
Interim procedures removed.....................................43852
549.5-1 (b)(5) revised; authority citation removed.................25132
561.13 Revised.......................................................334
561.15 Removed.......................................................352
561.16c (a), (c) and (d) revised; (e) and (f) added..................352
563 Authority citation revised..............................11245, 18266
Interim procedures.............................................13105
Interim procedures removed.....................................43852
563.9-3 (b)(4) revised...............................................361
563.9-9 Heading, (a)(1), (b), and (c) revised; (a) (2) and (3) and
(d) redesignated as (a) (3) and (4) and (f); new (a)(2),
(d), and (e) added; new (f) revised........................18266
563.13 (b)(4)(i)(D) and (ii)(B) revised; (b)(4)(i)(F) added..........353
(a) revised......................................................369
(b)(2)(iv) revised.............................................11245
563.13-3 Added (temporary).........................................27155
Removed........................................................27814
Added..........................................................27816
563.14 Added.........................................................369
563.14-1 Added.......................................................371
563.17-1 (c)(8) revised............................................20612
563.17-1a Added......................................................382
563.17-2 (a) and (b) revised.........................................353
563.17-5 (a)(4), (c), (e) heading and (2), (g)(2), and (3)(ii) (B)
and (C) revised; (g)(3)(ii)(D) redesignated as
(g)(3)(ii)(E) and revised; (a)(13) and new (g)(3)(ii)(D)
added......................................................27672
563.18 (d) revised.................................................11243
563.22 (e)(1)(xii) amended.........................................20612
563.23-1 Heading and (b) revised; (c) through (f) removed............336
563.23-3 (c) and (d) revised; (e) added..............................336
563.23-4 Added.......................................................388
563.31 (b)(1) revised..............................................20612
563.41 Heading and (a) revised.....................................31701
563.43 (a) revised.................................................31701

[[Page 586]]

563.45 (c) and (d) revised; Form AR amended.........................1004
563.47 Added.........................................................361
563b.3 (g)(4) added.................................................2478
563c.11 Removed......................................................337
563c.14 (f) eff. date corrected to 1-1-88...........................6792
564.2 (b)(3) removed................................................8169
564.9 Revised.......................................................8169
564 Appendix amended................................................8170
569a Interim procedures............................................13105
Authority citation revised.....................................25132
Interim procedures removed.....................................43852
569a.7 Revised.....................................................25132
569b Interim procedures............................................13105
Interim procedures removed.....................................43852
569c Interim procedures............................................13105
Added..........................................................25132
Interim procedures removed.....................................43852
569c.11 (a)(6) revised.............................................30667
570.13 (c) revised.................................................27675
571.1a (a) introductory text amended; (b)(3), (c), and (d) revised
353
571.1b Added.........................................................383
571.17 Removed.....................................................45455
571.18 Added.........................................................388
574.4 (e)(1)(i) and (3) revised; (f)(2) amended....................33106
574.5 (a)(1) amended...............................................33107
574.6 (b)(1) revised; (b) (3), (4) and (5) removed; (b) (6)
through (9) redesignated as (b) (3) through (6); new (b)
(4) through (6) amended....................................33107
574.8 (a)(1) (i) and (v) removed; (a)(1) (ii), (iii), (iv), and
(vi) and (2), (3) and (4) redesignated as (a)(1) (i)
through (iv) and (3), (4) and (5); new (a)(2) added; new
(a) (3), (4) introductory text and (ii), and (5) revised
33107
(a)(1)(iii)(A) removed; (a)(1)(iii)(B) redesignated as
(a)(1)(iii)(A); (b)(1)(ii) revised.................................47942
574.100 Added......................................................33108
575 Added..........................................................43852
576 Added..........................................................43857
577 Added..........................................................43858
583 Authority citation revised; section authority citations
removed......................................................321
583.5 Revised.......................................................1004
583.6 Revised........................................................321
583.27 Added.........................................................321
584.2 Heading, (b) and (c) revised...................................322
584.2a Added.........................................................323
584.2-1 Heading and (a) revised; (b)(12) added.......................323
584.2-2 Revised......................................................323
Chapter VI
600 Revised........................................................16693
606 Added (effective date pending).................................19889
Eff. 7-6-88....................................................25481
611 Authority citation revised................12140, 16695, 18810, 39080
611.100 (Subpart A) Removed (effective date pending)...............50392
611.310--611.340 (Subpart C) Added (effective date pending)........50392
611.400 Removed; new 611.400 redesignated from 611.1020 and
heading revised (effective date pending)...................50393
611.400 (Subpart D) Heading revised (effective date pending).......50393
611.500--611.525 (Subpart E) Revised (effective date pending)......50393
611.1000--611.1040 (Subpart F) Revised (effective date pending)....50395
611.1020 Redesignated as 611.400 and heading revised (effective
date pending)..............................................50393
611.1122 (a) (5) and (6) and (e) (11) through (16) redesignated as
(a) (6) and (7) and (e) (16) through (21); new (e) (11)
through (15) and (a)(5) and (k) added; (g) revised
(effective date pending)...................................50396
611.1123 (a)(9) redesignated as (a)(11); new (a) (9), (10), and
(c) added (effective date pending).........................50396
611.1136 Revised (effective date pending)..........................27155
Eff. 9-13-88...................................................35303
611.1140--611.1142 (Subpart J) Removed.............................12140
611.1140 (Subpart J) Added; interim................................16695
(d) revised; (e) added.........................................29446
611.1145 Added.....................................................39080
611.1162 (c) added.................................................18810
611.1166 (d) added.................................................18810
611.1172 (c) and (d) added.........................................18810

[[Page 587]]

611.1174 (c) removed; (d) through (f) redesignated as (c) through
(e); new (d) amended; new (c)(5) revised; new (f) added....18810
611.1190--611.1198 (Subpart O) Added (effective date pending)......50396
612 Authority citation revised; section authority citations
removed....................................................22136
612.2150 (e) added.................................................22136
612.2200 Removed (effective date pending)..........................50399
614 Authority citation revised.....................................35451
614.4341 Revised.....................................................775
Correctly revised...............................................3191
614.4365--614.4368 (Subpart K) Revised (effective date pending)....35451
Eff. in part 10-14-88..........................................45076
614.4367 (c)(1) and (d)(1) effective date deferred in part.........45076
614.4440--614.4444 (Subpart L) Revised (effective date pending)....35452
Eff. 10-14-88..................................................45076
614.4440 (c) revision eff. 2-2-88...................................2826
614.4442 Revision eff. 2-2-88.......................................2826
614.4510--614.4522 (Subpart N) Heading added (effective date
pending)...................................................35454
Heading eff. 10-14-88..........................................45076
614.4512 Added (effective date pending)............................35454
Eff. 10-14-88..................................................45076
614.4513 Revised (effective date pending)..........................35454
Eff. 10-14-88..................................................45076
614.4514 Added (effective date pending)............................35454
Eff. 10-14-88..................................................45076
614.4515--614.4519 Added (effective date pending)..................35455
Eff. 10-14-88..................................................45076
614.4520 Redesignated as 614.4525 (effective date pending).........35454
Added (effective date pending).................................35456
Redesignation and addition eff. 10-14-88.......................45076
614.4521 Added (effective date pending)............................35456
Eff. 10-14-88..................................................45076
614.4522 Added (effective date pending)............................35456
Eff. 10-14-88..................................................45076
(c) (2) and (3) introductory text correctly revised............52401
614.4525 Redesignated from 614.4520 (effective date pending).......35454
Eff. 10-14-88..................................................45076
615 Authority citation revised.........12141, 27156, 35457, 39247, 40046
615.5200--615.5215 (Subpart H) Revised (effective date pending)....39247
615.5215 Amended (effective date pending)..........................40046
615.5220--615.5240 (Subpart I) Removed (effective date pending)....39250
615.5220--615.5250 (Subpart I) Added (effective date pending)......40046
615.5260--615.5280 (Subpart J) Revised (effective date pending)....40047
615.5290 Revised (effective date pending)..........................35457
Eff. 10-14-88..................................................45076
615.5330 (Subpart K) Revised (effective date pending)..............40048
615.5350--615.5370 (Subpart L) Removed (effective date pending)....40049
615.5390--615.5430 (Subpart M) Removed (effective date pending)....40049
615.5440 (Subpart N) Removed (effective date pending)..............40049
615.5560 (Subpart R) Added.........................................12141
Addition confirmed.............................................27156
617 Heading and authority citation revised.........................27156
617.7000--617.7090 (Subpart A) Removed (effective date pending)....27156
Removal eff. 9-13-88...........................................35303
618 Authority citation revised.......................35305, 35457, 39250
618.8030 (b) (6) and (7) removed; (b) (2) through (5) and (8)
through (13) redesignated as (b) (3) through (12); new (b)
(4), (6), (8) and (11) amended; new (b)(2) added; heading,
(a), (b) introductory text, (1) and new (3) revised
(effective date pending)...................................35305
Eff. 10-13-88..................................................40867

[[Page 588]]

618.8100 (Subpart D) Removed (effective date pending)..............50399
618.8160 (Subpart E) Removed (effective date pending)..............50399
618.8310 (b)(1) introductory text revised (effective date pending)
35457
Eff. 10-14-88..................................................45076
618.8320 (b) (9) and (10) added (effective date pending)...........35457
Eff. 10-14-88..................................................45076
618.8325 (a) and (b) revised (effective date pending)..............35458
Eff. 10-14-88..................................................45076
618.8440 Added (effective date pending)............................39250
620 Authority citation revised........................3335, 16697, 50399
620.1 (a) revised (effective date pending)..........................3337
Eff. 3-8-88.....................................................7340
620.2 (k) revised (effective date pending)..........................3337
Eff. 3-8-88.....................................................7340
620.3 (j)(3) introductory text and (i) revised; (j)(3)(ii)
redesignated as (j)(3)(iii) and introductory text revised
and (E) and (G) amended; new (j)(3)(ii) added; interim......3335
(c) revised and (j)(3)(i) introductory text amended (effective
date pending).......................................................3337
Eff. 3-8-88.....................................................7340
(j)(3)(ii) revised (effective date pending)....................16697
Eff. 6-13-88...................................................21986
620.10 (a) revised (effective date pending).........................3337
Eff. 3-8-88.....................................................7340
620.11 (b) (2) and (4) revised (effective date pending).............3337
Eff. 3-8-88.....................................................7340
620.20 (b) and (c) revised (effective date pending).................3337
Eff. 3-8-88.....................................................7340
620.30--620.32 (Subpart D) Added...................................50399
621.2 (a)(18)(i) removed; (a)(18) (ii), (iii), (iv) and (v)
redesignated as (a)(18) (i), (ii), (iii), and (iv);
(a)(24) removed (effective date pending)....................3338
Eff. 3-8-88.....................................................7340
621.4 Heading revised (effective date pending)......................3338
Eff. 3-8-88.....................................................7340
622 Authority citation revised; section authority citations
removed....................................................27284
622.2 (d) revised (effective date pending).........................27284
Eff. 9-13-88...................................................35306
622.51--622.60 (Subpart B) Revised (effective date pending)........27284
Eff. 9-13-88...................................................35306
623 Authority citation revised; section authority citations
removed....................................................27285
623.2 (d) revised (effective date pending).........................27285
Eff. 9-13-88...................................................35306
624 Revised (effective date pending)...............................40050
Chapter VII
Chapter VII Interpretation and policy statement....................18268
701 Authority citation revised.....................................19748
701.6 (a) revised..................................................19748
701.10 Removed......................................................4845
701.20 (c) revised..................................................9611
701.21 (i) added; interim..........................................19751
(c)(7) revised.................................................29645
701.23 (a)(3) removed; (b)(1)(iv) revised...........................4844
701.24 Revised.....................................................19747
701.32 Added; interim..............................................50920
701.33 Revised.....................................................29642
701.35 (c) revised.................................................19748
703 Authority citation revised...............................4844, 19752
Interpretation and policy statement............................18268
703.1 Revised.......................................................4844
Revised; interim...............................................19752
703.2 (o) revised...................................................4844
703.4 (a) revised; interim.........................................19752
704 Revised........................................................42943
725.2 (h) through (p) redesignated as (i) through (q); new (h)
added......................................................22472
725.5 (c) amended..................................................22472
741.5 Redesignated as 741.6; new 741.5 added.......................50920
741.6 Redesignated as 741.7; new 741.6 redesignated from 741.5;
interim....................................................50920
741.7 Redesignated as 741.8; new 741.7 redesignated from 741.6;
interim....................................................50920

[[Page 589]]

741.8 Redesignated as 741.9; new 741.8 redesignated from 741.7;
interim....................................................50920
741.9 Redesignated as 741.10; new 741.9 redesignated from 741.8;
interim....................................................50920
741.10 Redesignated as 741.11; new 741.10 redesignated from 741.9;
interim....................................................50920
741.11 Redesignated from 741.10; interim...........................50920
745 Appendix amended...............................................22473
747 Authority citation revised.....................................29447
747.501--747.507 (Subpart E) Heading revised.......................29447
747.501 Revised....................................................29447
747.502 Revised....................................................29447
747.503 Revised....................................................29447
747.505 Revised....................................................29448
747.506 Redesignated as 747.507; new 747.506 added.................29448
747.507 Redesignated from 747.506..................................29448
748.0 (b) revised...................................................4845
748.1 (c) revised..................................................26232
761 Removed........................................................29646
790 Heading and authority citation revised.........................29647
790.1 (b) revised..................................................29647
790.10 Removed.....................................................29647
790.40--790.49 (Subpart C) Redesignated as 791.9--791.18 (Subpart
C) and revised.............................................29647
Correctly removed..............................................34481
790 Appendix A removed.............................................29647
791 Revised........................................................29647
Authority citation correctly revised...........................34481
795 Revised (OMB numbers)....................................3001, 29652
795.1 (b) table amended (OMB numbers)...............................1005
Chapter XI
1101 Authority citation revised.....................................7341
1101.3 (e) revised..................................................7341
1101.4 (b)(1)(vii) and (5) revised..................................7341

1989

12 CFR
54 FR
Page
Chapter I
1 Authority citation revised........................................1335
1.3 (d) amended.....................................................1335
1.4 Revised.........................................................1335
1.6 Revised.........................................................1335
1.9 Removed.........................................................1335
1.9 Redesignated from 1.10..........................................1335
1.10 Redesignated as 1.9............................................1335
Redesignated from 1.11; (b) revised.............................1335
1.11 Redesignated as 1.10; (b) revised..............................1335
Redesignated from 1.12..........................................1335
1.12 Redesignated as 1.11...........................................1335
1.100 (b) revised...................................................1335
3 Authority citation revised........................................4177
Appendix A added; eff. 12-31-90.................................4177
5.49 Revised.......................................................48856
21 Authority citation revised......................................25843
21.11 Revised......................................................25843
33 Removed.........................................................31935
Chapter II
201.51 Revised.....................................................10270
201.52 Revised.....................................................10271
202 Authority citation revised.....................................50485
202.2 (g) revised..................................................50485
202.3 (d) removed; (e) redesignated as (d).........................50485
202.9 (a) (1) and (2) republished; (a)(3) added....................50485
202.12 (b)(1) introductory text and (2) through (4) revised;
(b)(5) added...............................................50486
202.14 (a)(1) amended..............................................53539
202 Appendix C amended.............................................50486
Appendix A amended.............................................53539
202 Supplement I amended............................................9416
203 Revised; eff. 1-1-90...........................................51362
204.9 (a)(1) revised...............................................51012
205.13 (a)(1) amended..............................................53539
205 Supplement II amended...........................................9416
207 OTC margin stock list......................4254, 16357, 31647, 43952
208.10 (a)(3) amended; (a)(4) revised; (b)(2) and (3) amended.......7183
208.13 Revised......................................................4198
208.17 Added........................................................6117
208.123 Removed.....................................................7181
208.124 Added.......................................................7181
(b), (c)(8)(ii) and (d) footnote 1 corrected...................10482
208 Appendix A added................................................4198
Appendix A corrected...........................................12531
213 Appendix D amended.............................................53539
220 OTC margin stock list......................4254, 16357, 31647, 43952
221 OTC margin stock list......................4254, 16357, 31647, 43952
224 OTC margin stock list......................4254, 16357, 31647, 43952

[[Page 590]]

225.2 (l) through (n) redesignated as (m) through (o); new (l)
added......................................................37302
225.25 (b)(9) added................................................37301
225.126 (h) removed................................................37302
225 Appendix A redesignated as Appendix B and amended; new
Appendix A added............................................4209
Corrected......................................................12531
225 Appendix B redesignated as Appendix C...........................4209
226 Authority citation revised.....................................13864
Determination..................................................50342
226.1 (a) amended..................................................13865
(b) and (d)(2) revised; (c)(3) added...........................24686
226.2 (a)(15) and (a)(17)(iv) revised..............................13865
226.5 (a) (1), (2), and footnote 7 republished; footnotes 8 and 9
revised; (a)(3) and (b)(3) added...........................13865
Footnote 8 revised; (a)(4) and (b)(4) added....................24686
226.5a Added.......................................................13865
(a)(3) revised.................................................24686
(a)(3), (d)(2), (g)(2) (i), and (ii) corrected.................32954
226.5b Added.......................................................24686
226.6 (e) added....................................................24688
226.9 (d)(2) revised; (e) and (f) added............................13867
(c)(3) added...................................................24688
(e)(1) and (f)(1) corrected....................................32954
226.14 (b) revised.................................................13867
(b) revised....................................................24688
226.15 Footnote 36 revised.........................................24688
226.16 (b) introductory text republished; footnote 36a added.......13867
(d) added......................................................24688
(d)(3) corrected; footnote 36b added...........................28665
226.28 (a)(1) amended; (d) added...................................13867
(a) corrected..................................................32954
226 Supplement I amended............................................9421
Supplement I corrected.........................................13455
Appendix G amended......................................13868, 24689
Appendix I amended.............................................53539
229 Policy statement...............................................13839
229.2 (e)(7), (z)(5) and (cc) revised..............................13850
229.13 (e)(2) amended..............................................13850
229.16 (c)(3) amended..............................................13850
229.19 (e) revised.................................................13850
229.31 (b) amended.................................................13850
229.32 (a)(2)(ii) amended; (a)(2)(iii) redesignated as (a)(2)(iv);
new (a)(2)(iii) added......................................13850
229.34 (a)(1), (a) concluding text, (b) introductory text, (1),
and concluding text revised................................13850
229.36 Heading revised; (e) added; eff. 2-1-91.....................32047
229.38 (d) amended.................................................13850
(d) redesignated as (d)(1); new (d) heading and (2) added;
eff. 2-1-90........................................................32047
229 Appendixes A and E amended.....................................13851
Appendix E amended; eff. 2-1-90 and 2-1-91.....................32047
Appendix F amended.............................................13838
262.2 (b) amended..................................................33183
262.3 (a), (c), (j)(1)(ii) amended; (j) (3) and (4) removed;
(j)(2) revised.............................................33183
265.2 (f)(49) added................................................10139
(c)(30) revised................................................38374
Chapter III
303 Authority citation revised.......................53042, 53548, 53554
303.0 Revised......................................................53555
303.1 Revised......................................................53556
303.2 Revised......................................................53556
303.3 Revised......................................................53556
303.4 Revised......................................................53557
303.5 Revised......................................................53558
303.6 Revised......................................................53559
303.7 Revised......................................................53562
303.8 (f) revised..................................................14066
Revised........................................................53567
303.9 Revised......................................................53567
303.10 Revised.....................................................53570
303.11 Revised.....................................................53570
303.12 Revised.....................................................53571
303.13 Added; interim..............................................53548
303.14 Added; interim..............................................53042
308 Authority citation revised.....................................53044
308.94--308.98 (Subpart L) Added; interim..........................53044
309 Authority citation revised.....................................46364
309.2 (a), (f), and (h) amended; (d) revised.......................46364
309.4 (a) introductory text and (1), (c) introductory text, (d)
introductory text, (2)(i), (e) (1) and (2), and (f)
amended....................................................46364
309.5 (h) amended..................................................46364

[[Page 591]]

309.6 (c) introductory text, (1) heading, (2) (i), (ii), (3), (4)
(i), (ii), (iii), (iv), (C), (c)(4)(iv), (B)(1), (5)
heading and introductory text, (6) introductory text,
(ii), (c)(7) (A), (B), (B)(3) and (D), (iv) and (c)(7),
introductory text, (7)(i), (ii), (iii) introductory text,
and (11) amended; (c)(7)(iii) revised......................46364
310.13 (a) and (b) revised.........................................38507
311 Authority citation revised.....................................38965
311.2 (b) amended..................................................38965
311.6 (a) amended..................................................38965
312 Added; interim.................................................40380
Technical correction...........................................43521
Authority citation revised.....................................52927
312.1 (a) and (c) corrected........................................43521
(c) revised; interim...........................................52927
312.3 Added; interim...............................................52928
312.4 Correctly designated.........................................43521
312.6 Added; interim...............................................52928
312.7 Added; interim...............................................52928
325 Appendix A added; eff. in part 12-31-90 and 12-31-92...........11509
327 Authority citation revised.....................................37938
Revised........................................................51374
327.07 Added.......................................................37938
328 Authority citation revised.....................................33670
328.0 Revised......................................................33670
328.1 Redesignated as 328.2 and revised; new 328.1 added...........33670
328.2 Redesignated as 328.3 and heading revised; new 328.2
redesignated from 328.1 and revised........................33670
328.3 Redesignated from 328.2 and heading revised..................33670
328.4 Added........................................................33672
335.101 Amended; eff. in part 1-29-90 and 12-15-90.................53574
335.102 (b) through (d), (e), (f) through (h), (i) through (n),
(p) through (bb), (cc), and (dd) through (jj) redesignated
as (c) through (e), (g), (j) through (l), (o) through (t),
(u), (v) through (hh), (ii), and (mm) through (ss); new
(u), new (ii), and new (rr) revised; new (b), (f), (h),
(i), (m), (n), (jj), (kk), and (ll) added; new (l)
removed; eff. in part 1-29-90 and 12-15-90.................53574
335.201 (a) and (b) revised; eff. in part 1-29-90 and 12-15-90.....53575
335.203 (a) introductory text, (1), (7), and (11) revised; (a)(9)
note and (b)(2) note added; (b) introductory text amended;
(b) designated in part as concluding text; eff. in part 1-
29-90 and 12-15-90.........................................53575
335.204 (a) Notes 1 and 2 added; (b) and (c) amended; (e) through
(j) redesignated as (f) through (k); new (e) added; new
(f) through (i) revised; eff. in part 1-29-90 and 12-15-90
53575
335.206 (a) amended; eff. in part 1-29-90 and 12-15-90.............53576
335.207 (d) revised; eff. in part 1-29-90 and 12-15-90.............53576
335.209 (e) revised; eff. in part 1-29-90 and 12-15-90.............53576
335.210 (b) (2) and (3) revised; eff. in part 1-29-90 and 12-15-90
53576
335.212 Amended; eff. in part 1-29-90 and 12-15-90.................53576
335.214 Added; eff. in part 1-29-90 and 12-15-90...................53586
335.220 (b)(1)(iii) revised; eff. in part 1-29-90 and 12-15-90.....53587
335.307 (b)(3) amended; eff. in part 1-29-90 and 12-15-90..........53587
335.309a Amended; eff. in part 1-29-90 and 12-15-90................53587
335.310 (c) amended; eff. in part 1-29-90 and 12-15-90.............53590
335.312 Amended; eff. in part 1-29-90 and 12-15-90.................53590
335.321 Amended; eff. in part 1-29-90 and 12-15-90.................53592
335.331 Amended; eff. in part 1-29-90 and 12-15-90.................53592
335.332 Amended; eff. in part 1-29-90 and 12-15-90.................53592
335.359 (a) amended; eff. in part 1-29-90 and 12-15-90.............53592
335.401 (a) and (c) amended; eff. in part 1-29-90 and 12-15-90.....53592
335.402 (a) and (b) amended; eff. in part 1-29-90 and 12-15-90.....53592
335.407 Amended; eff. in part 1-29-90 and 12-15-90.................53592
335.408 Amended; eff. in part 1-29-90 and 12-15-90.................53592
335.409 Added; eff. in part 1-29-90 and 12-15-90...................53592
335.410 (h) (1) and (2) amended; eff. in part 1-29-90 and 12-15-90
53592

[[Page 592]]

335.503 (a)(1) and (b) amended; eff. in part 1-29-90 and 12-15-90
53592
335.507 (a) introductory text revised; eff. in part 1-29-90 and
12-15-90...................................................53592
335.509 (a)(1) and (b)(1) amended; eff. in part 1-29-90 and 12-15-
90.........................................................53592
335.509a Added; eff. in part 1-29-90 and 12-15-90..................53592
335.510 (b) revised; eff. in part 1-29-90 and 12-15-90.............53593
335.512 Amended; eff. in part 1-29-90 and 12-15-90.................53593
335.513 Amended; eff. in part 1-29-90 and 12-15-90.................53593
335.521 Added; eff. in part 1-29-90 and 12-15-90...................53593
335.602--335.604 Undesignated center heading revised; eff. in part
1-29-90 and 12-15-90.......................................53593
335.602 Revised; eff. in part 1-29-90 and 12-15-90.................53593
335.603 Removed; eff. in part 1-29-90 and 12-15-90.................53593
335.604 (a) (1) and (2) revised; eff. in part 1-29-90 and 12-15-90
53593
335.610 Amended; eff. in part 1-29-90 and 12-15-90.................53593
335.618 Revised; eff. in part 1-29-90 and 12-15-90.................53593
335.621 (e) amended; eff. in part 1-29-90 and 12-15-90.............53594
335.622 (d)(4) added; (g)(2)(i) revised; eff. in part 1-29-90 and
12-15-90...................................................53594
335.623 (g) amended; eff. in part 1-29-90 and 12-15-90.............53594
335.625 Revised; eff. in part 1-29-90 and 12-15-90.................53594
335.626 (a) revised; eff. in part 1-29-90 and 12-15-90.............53594
335.627 Amended; eff. in part 1-29-90 and 12-15-90.................53594
335.628 Added; eff. in part 1-29-90 and 12-15-90...................53597
335.701 Note added; eff. in part 1-29-90 and 12-15-90..............53600
335.702 Amended; eff. in part 1-29-90 and 12-15-90.................53600
336.12 (c)(2) corrected..............................................227
336.16 (c) corrected.................................................227
336.17 (b)(1)(i) corrected...........................................227
336.24 Heading corrected.............................................227
337 Authority citation revised.....................................51014
337.6 Added; interim...............................................51014
338 Authority citation revised.....................................52930
338.1 (f) redesignated as (g); new (f) added.......................52930
338.2 (a) introductory text revised................................52930
338.3 Revised......................................................52930
346 Authority citation revised.....................................14066
346.1 (a), (k) and (p) revised.....................................14066
346.4 (a) designation removed; (b) removed; (a) (1) and (2)
redesignated as (a) and (b)................................14067
346.6 (a)(1) footnotes 2 and 3, (a)(4), and (7) removed; (a)
introductory text, (1), (5), and (6) revised; (a)(6)
redesignated as (a)(4) and revised.........................14067
(a) introductory text republished; (a)(6) added................27155
346.7 Revised......................................................14067
346.16 Amended.....................................................14067
346.17 Heading revised; (a)(1) amended.............................14067
346.19 (b)(3) amended; (b)(1), (c), (d) introductory text, (3),
(5), (7) and (e) revised; (d)(8) added; footnote 5
redesignated as footnote 3 and revised.....................14067
346.20 Revised.....................................................14069
346.21 Removed.....................................................14070
346.23 Removed.....................................................14070
346 Appendix A removed.............................................14070
382--396 (Subchapter C) Added......................................42800
382 Redesignated from Part 548 and amended.........................42801
383 Redesignated from Part 549 and amended.........................42801
384 Redesignated from Part 562 and amended.........................42801
385.1 Redesignated from 563.29-1 and amended.......................42801
385.2 Redesignated from 563.30 and amended.........................42801
385.3 Redesignated from 563.31 and amended.........................42801
385.4 Redesignated from 563.36 and amended.........................42801
385.5 Redesignated from 563.8-2 and amended........................42801
385.6 Redesignated from 563.15 and amended.........................42801
385.7 Redesignated from 563.16 and amended.........................42801
385.8 Redesignated from 563.16-2 and amended.......................42801
385.9 Redesignated from 563.28 and amended.........................42801

[[Page 593]]

386 Redesignated from Part 564 and amended.........................42801
386.1 Redesignated from 564.1 and amended..........................42801
386.2 Redesignated from 564.2 and amended..........................42801
386.3 Redesignated from 564.3 and amended..........................42801
386.4 Redesignated from 564.4 and amended..........................42801
386.5 Redesignated from 564.5 and amended..........................42801
386.6 Redesignated from 564.6 and amended..........................42801
386.7 Redesignated from 564.7 and amended..........................42801
386.8 Redesignated from 564.8 and amended..........................42801
386.9 Redesignated from 564.9 and amended..........................42801
386.10 Redesignated from 564.10 and amended........................42801
386.11 Redesignated from 564.11 and amended........................42801
386.12 Redesignated from 570.12 and amended........................42801
386.13 Redesignated from 570.13 and amended........................42801
386 Appendix redesignated from Part 564 Appendix and amended.......42801
387 Redesignated from Part 565 and amended.........................42801
388.1 Redesignated from 569a.4 and amended.........................42801
388.2 Redesignated from 568a.5 and amended.........................42801
388.3 Redesignated from 569a.6 and amended.........................42801
388.4 Redesignated from 569a.7 and amended.........................42801
388.5 Redesignated from 569a.8 and amended.........................42801
388.6 Redesignated from 569a.9 and amended.........................42801
388.7 Redesignated from 569a.10 and amended........................42801
388.8 Redesignated from 569a.11 and amended........................42801
388.9 Redesignated from 569a.12 and amended........................42801
388.10 Redesignated from 569a.13 and amended.......................42801
389 Redesignated from Part 569c and amended........................42801
390 Redesignated from Part 572 and amended.........................42801
391 Redesignated from Part 572a and amended........................42801
392 Redesignated from Part 575 and amended.........................42801
393 Redesignated from Part 575a and amended........................42801
394 Redesignated from Part 576 and amended.........................42801
Redesignation Table corrected..................................42801
395 Redesignated from Part 577 and amended.........................42801
396 Redesignated from Part 578 and amended.........................42801
Chapter V
Chapter V Heading revised..........................................35453
Revised........................................................49440
502 Added; interim.................................................39984
506 Redesignated as 12 CFR Part 910 and heading revised............36759
Added..........................................................51739
506a Redesignated as 12 CFR Part 912 and heading revised...........36759
509 Revised........................................................26359
512 Authority citation revised.....................................26369
512.1 Revised......................................................26369
512.2 (c) revised..................................................26369
512.3 Revised......................................................26370
512.4 Revised......................................................26370
512.5 (b) (1) and (2) revised......................................26370
(c) removed....................................................26370
512.7 Revised......................................................26370
516 Added; nomenclature change......................................4733
Heading and authority citation revised..........................4953
Technical correction............................................6363
516.105 (w) added...................................................4733
516.305 (c) (3) and (4) amended; (c)(5) added; interim..............4953
516.320 (a) revised; interim........................................4953
516.600--516.630 (Subpart F) Added; interim.........................4953
516 Appendix C added; interim.......................................4953
521 Redesignated as 12 CFR Part 931................................36759
522 Redesignated as 12 CFR Part 932................................36759
522.30 Added (temporary)...........................................26018
Removed; eff. 6-14-90..........................................26019
Removed........................................................38592
523 Redesignated as 12 CFR Part 933................................36759

[[Page 594]]

524 Redesignated as 12 CFR Part 934................................36759
525 Redesignated as 12 CFR Part 935................................36759
525.7 (b)(3) amended; (b)(4) redesignated as (b)(5); new (b)(4)
added.......................................................6113
526 Redesignated as 12 CFR Part 936................................36759
527 Redesignated as 12 CFR Part 937................................36759
528 Authority citation revised.....................................30537
Redesignated as 12 CFR Part 938................................36759
528.1 (c) revised..................................................30537
528.1a Revised.....................................................30537
528.2 Revised......................................................30537
528.3 (a) revised..................................................30537
528.4 Revised......................................................30537
528.5 (b) revised..................................................30537
528.6 Appendixes A and B revised...................................30538
528.7 (f) revised..................................................30541
528.8 Revised......................................................30541
529 Redesignated as 12 CFR Part 939................................36759
531 Redesignated as 12 CFR Part 940................................36759
531.8 (a) revised; (c)(8) added....................................30542
532 Redesignated as 12 CFR Part 941 and heading revised............36759
533 Redesignated as 12 CFR Part 942................................36759
534 Redesignated as 12 CFR Part 943................................36759
535 Redesignated as 12 CFR Part 944................................36759
544.2 (d) and (e) added.............................................4259
544.5 (c) and (d) added.............................................4259
545.45 (e)(1) designation and (e)(2) removed.......................34146
545.73 (a) revised.................................................34146
545.74 (c) (4), (5), and (6) redesignated as (c) (5), (6), and
(7); new (c)(4), (f) and (g) added; new (c)(5)(v) and new
(7) revised................................................32958
(a)(4) and (d)(4) removed; (a)(5) redesignated as new (a)(4);
(d)(2) introductory text revised...................................34146
545.96 (a) and (d) revised; eff. 1-8-90............................50614
545.112 Removed....................................................34146
545.131 (a) and (b) removed; (c), (d), and (e) redesignated as
(a), (b), and (c); new (a) and new (b)(5)(ii) revised......33868
545.132 Added......................................................33868
545.141 (d) revised................................................33870
546.2 (h)(1)(xii) amended..........................................34146
548 Redesignated as Part 382 and amended...........................42801
549 Redesignated as Part 383 and amended...........................42801
549.5-1 (b)(6) added...............................................19156
550.2 (c) introductory text revised; (c) removed; (c)(2) through
(11) redesignated as (c)(1) through (10)....................7396
550.14 (a), (b), and (c) amended....................................7396
552.4 (e) and (f) added.............................................4260
552.5 (d) and (e) added.............................................4261
561--574 (Subchapter D) Heading corrected..........................50582
561 Authority citation revised.....................................46866
561.13 Removed.....................................................46866
561.17 Removed.....................................................34146
562 Redesignated as Part 384 and amended...........................42801
563 Authority citation revised.....................................46866
563.7-5 (b)(2)(ii) removed; (b)(2) (iii) and (iv) redesignated as
(b)(2) (ii) and (iii)......................................34146
563.8 (e)(1) introductory text revised.............................34146
563.8-1 (b)(2)(ii) removed; (b)(2) (iii), (iv), and (v)
redesignated as (b)(2) (ii), (iii), and (iv)...............34146
(b) (2), (3), (d)(i)(iv), (e), (h), and (i) revised; (d)(4),
(j), and (k) added.................................................34153
563.8-2 Redesignated as 385.5 and amended..........................42801
563.8-4 (b)(7) amended.............................................34146
563.9-7 (b) revised................................................34147
563.9-8 (h) amended.........................................15401, 47511
(b)(2)(i) and (d)(1)(iv) revised; (f)(4) added.................33873
(g)(3)(ii)(A)(1)(iii)..........................................34147
563.13 Removed.....................................................46866
563.13-2 (c) and (d) removed; (e) redesignated as (c)..............46866
563.13-3 Added.......................................................396
563.15 Redesignated as 385.6 and amended...........................42801
563.16 Redesignated as 385.7 and amended...........................42801
563.16-2 Redesignated as 385.8 and amended.........................42801

[[Page 595]]

563.17-2 (a), (b), and (d) revised.................................34147
563.18 (d)(1)(ii), (2)(i), and (4) revised..........................4262
563.19 (b) revised.................................................25100
563.22 (e)(1)(xii) amended.........................................34147
563.28 Redesignated as 385.9 and amended...........................42801
563.29-1 Redesignated as 385.1 and amended.........................42801
563.30 Redesignated as 385.2 and amended...........................42801
563.31 Redesignated as 385.3 and amended...........................42801
563.36 Redesignated as 385.4 and amended...........................42801
563b.101 Amended...................................................34147
563c.14 (a) amended................................................34148
563c.102 Amended............................................23468, 34148
563f Authority citation revised; section authority citations
removed....................................................21596
563f.7 Revised.....................................................21596
564 Redesignated as Part 386 and amended...........................42801
564.1 Redesignated as 386.1 and amended............................42801
564.2 Redesignated as 386.2 and amended............................42801
564.3 Redesignated as 386.3 and amended............................42801
564.4 Redesignated as 386.4 and amended............................42801
564.5 Redesignated as 386.5 and amended............................42801
564.6 Redesignated as 386.6 and amended............................42801
564.7 Redesignated as 386.7 and amended............................42801
564.8 Redesignated as 386.8 and amended............................42801
564.9 Redesignated as 386.9 and amended............................42801
564.10 Redesignated as 386.10 and amended..........................42801
564.11 Redesignated as 386.11 and amended..........................42801
564 Appendix redesignated as Part 386 Appendix and amended.........42801
565 Redesignated as Part 387 and amended...........................42801
567 Revised........................................................46866
569a.4 Redesignated as 388.1 and amended...........................42801
569a.5 Redesignated as 388.2 and amended...........................42801
569a.6 Redesignated as 388.3 and amended...........................42801
569a.7 Revised.....................................................19156
Redesignated as 388.4 and amended..............................42801
569a.8 Redesignated as 388.5 and amended...........................42801
569a.9 Redesignated as 388.6 and amended...........................42801
569a.10 Redesignated as 388.7 and amended..........................42801
569a.11 Redesignated as 388.8 and amended..........................42801
569a.12 Redesignated as 388.9 and amended..........................42801
569a.13 Redesignated as 388.10 and amended.........................42801
569c Redesignated as Part 389 and amended..........................42801
569c.7-1 Added......................................................6112
569c.8-1 Added.....................................................19156
570.8 Removed......................................................34148
570.12 Redesignated as 386.12 and amended..........................42801
570.13 Redesignated as 386.13 and amended..........................42801
571 Authority citation revised.....................................35453
571.1 (b) amended; (d) removed.....................................34148
571.1a Introductory text revised...................................34148
571.12 Revised.....................................................35172
571.13 (a) introductory text and (3) revised.......................34148
571.19 Added.......................................................23468
(e) amended....................................................35453
572 Redesignated as Part 390 and amended...........................42801
572a Redesignated as Part 391 and amended..........................42801
574.6 (a) (2) through (5) redesignated as (a) (3) through (6); new
(a)(2) added...............................................33185
574.7 (a) redesignated as (a)(1); new (a) (2) and (3) added........32962
(a)(2) introductory text revised...............................33186
575 Redesignated as Part 392 and amended...........................42801
575a Added.........................................................12414
Redesignated as Part 393 and amended...........................42801
576 Redesignated as Part 394 and amended...........................42801
577 Redesignated as Part 395 and amended...........................42801
Redesignation table corrected..................................42801

[[Page 596]]

578 Added...........................................................6109
Redesignated as Part 396 and amended...........................42801
584 Authority citation revised.....................................22414
584.9 (d) and (e) revised..........................................22414
592 Removed........................................................38598
Chapter VI
600 Subpart and section authority citations removed................50736
600.10 (Subpart B) Added (effective date pending)..................50736
611 Subpart authority citations removed.............................1147
611.100 (Subpart A) Removal eff. 2-22-89............................7758
611.310--611.340 (Subpart C) Addition eff. 2-22-89..................7758
611.310 (c) correctly revised................................2994, 37095
611.400 Removal; new 611.400 redesignation from 611.1020 and
heading revision; eff. 2-22-89..............................7758
611.400 (Subpart D) Heading revision; eff. 2-23-89..................7758
611.500--611.525 (Subpart E) Revision eff. 2-22-89..................7758
611.1000--611.1040 (Subpart F) Revision eff. 2-22-89................7758
611.1020 Redesignation as 611.400 and heading revision; eff. 2-23-
89..........................................................7758
611.1122 Amendment eff. 2-22-89.....................................7758
611.1123 Amendment eff. 2-22-89.....................................7758
611.1155 Amended (effective date pending)...........................1148
Eff. 2-23-89....................................................7758
611.1156 (a) and (b)(1) revised; (b) (4) and (5) amended; (b)(6)
added (effective date pending)..............................1148
Eff. 2-23-89....................................................7758
611.1157 (a) and (b) amended (effective date pending)...............1148
Eff. 2-23-89....................................................7758
611.1158 Nomenclature change (effective date pending)...............1148
Eff. 2-23-89....................................................7758
611.1160 (a), (b), (e), (f) and (g) amended (effective date
pending)....................................................1148
Eff. 2-23-89....................................................7758
611.1161 Introductory text and (s) amended (effective date
pending)....................................................1148
Eff. 2-23-89....................................................7758
611.1162 (b) amended; (c) revised and (d) added (effective date
pending) (See correction published at 55 FR 10042)..........1148
Eff. 2-23-89....................................................7758
611.1165 Removed (effective date pending)...........................1148
Eff. 2-23-89....................................................7758
611.1166 Redesignated as 611.1167; and (a)(4) amended and (d)
revised; new 611.1166 added (effective date pending) (See
correction published at 55 FR 10042)........................1148
Eff. 2-23-89....................................................7758
611.1167 Redesignated as 611.1168 and (a) amended and (b) revised;
new 611.1167 redesignated from 611.1166; and (a)(4)
amended and (d) revised (effective date pending)............1148
Eff. 2-23-89....................................................7758
611.1168 Redesignated as 611.1169 and amended; new 611.1168
redesignated from 611.1167 and (a) amended and (b) revised
(effective date pending)....................................1148
Eff. 2-23-89....................................................7758
611.1169 Redesignated from 611.1168 and amended (effective date
pending)....................................................1148
Eff. 2-23-89....................................................7758
611.1170 (a), (b), (e), (f), and (g) amended; (h) revised
(effective date pending)....................................1148
Eff. 2-23-89....................................................7758
611.1172 (b) amended; (c) and (d) revised (effective date pending)
(See also 55 FR 10042)......................................1149
Eff. 2-23-89....................................................7758
611.1174 (c) removed; (d), (e) and (f) redesignated as (c), (d)
and (e); new (c)(5) revised; new (d) amended; new (f)
added (effective date pending) (See also 55 FR 10042
amendment removed)..........................................1149
Eff. 2-23-89....................................................7758
611.1175 (b) revised (effective date pending).......................1149
Eff. 2-23-89....................................................7758
611.1176 Amended (effective date pending)...........................1149
Eff. 2-23-89....................................................7758

[[Page 597]]

611.1180 (a), (d) and (e) amended; (f) revised (effective date
pending)....................................................1149
Eff. 2-23-89....................................................7758
611.1181 (b) and (c)(1) amended (effective date pending)............1149
Eff. 2-23-89....................................................7758
611.1182 (a) amended (b) revised (effective date pending)...........1149
Eff. 2-23-89....................................................7758
611.1190--611.1198 (Subpart O) Addition eff. 2-22-89................7758
611.1195 (b) correctly revised......................................2994
Eff. 2-23-89....................................................7758
612.2150 (a) and (c) introductory text amended; interim.............1150
Regulation at 54 FR 1150 confirmed (effective date pending)....50736
612.2160 (a) amended; interim.......................................1150
Regulation at 54 FR 1150 confirmed (effective date pending)....50736
612.2200 Removal eff. 2-22-89.......................................7758
614.4280 (a) amended; (a) designation and (b) removed; interim......1150
Regulation at 54 FR 1150 confirmed (effective date pending)....50736
614.4320 Amended; interim...........................................1150
Regulation at 54 FR 1150 confirmed (effective date pending)....50736
614.4321 Introductory text amended; interim.........................1150
Regulation at 54 FR 1150 confirmed (effective date pending)....50736
614.4340 (a) amended; interim.......................................1151
Regulation at 54 FR 1151 confirmed (effective date pending)....50736
614.4345 Amended; interim...........................................1151
Regulation at 54 FR 1151 confirmed (effective date pending)....50736
614.4367 (c)(1) and (d)(1) revised (effective date pending).........1153
Eff. 2-23-89....................................................7758
614.4460 Introductory text and (f) (1) and (3) amended; interim.....1151
Regulation at 54 FR 1151 confirmed (effective date pending)....50736
614.4511 Amended; interim...........................................1151
Regulation at 54 FR 1151 confirmed (effective date pending)....50736
614.4910 (Subpart R) Added (effective date pending).................1155
Eff. 2-23-89....................................................7759
615.5000 Revised (effective date pending)...........................1158
Eff. 2-23-89....................................................7759
615.5010 Revised (effective date pending)...........................1159
Eff. 2-23-89....................................................7759
615.5030 Revised (effective date pending)...........................1159
Eff. 2-23-89....................................................7759
615.5040 Amended; interim...........................................1151
Regulation at 54 FR 1151 confirmed (effective date pending)....50736
615.5045--615.5090 (Subpart B) Revised (effective date pending).....1159
Eff. 2-23-89....................................................7759
615.5100 Revised (effective date pending)...........................1160
Eff. 2-23-89....................................................7759
615.5101 Revised (effective date pending)...........................1160
Eff. 2-23-89....................................................7759
615.5102 Revised (effective date pending)...........................1160
Eff. 2-23-89....................................................7759
615.5104 Amended; interim...........................................1151
Regulation at 54 FR 1151 confirmed (effective date pending)....50736
615.5105 (b) revised (effective date pending).......................1160
Eff. 2-23-89....................................................7759
615.5135 (b) introductory text amended; interim.....................1151
Regulation at 54 FR 1151 confirmed (effective date pending)....50736
615.5143 Amended; interim...........................................1151
Regulation at 54 FR 1151 confirmed (effective date pending)....50736
615.5190 (b) amended; interim.......................................1151
Regulation at 54 FR 1151 confirmed (effective date pending)....50736
615.5200--615.5215 (Subpart H) Revision eff. 2-1-89.................5074
615.5210 (e)(3)(iii) table correctly revised.......................31323

[[Page 598]]

615.5215 Amendment eff. 2-9-89......................................6264
615.5220--615.5240 (Subpart I) Removal eff. 2-1-89..................5074
Addition eff. 2-9-89............................................6264
615.5230 (b)(4) correctly revised (effective date pending)..........6118
615.5250 Clarifying correction......................................7029
615.5255 Correctly removed..........................................7029
615.5260--615.5290 (Subpart J) Clarifying correction................7029
615.5260--615.5280 (Subpart J) Revision eff. 2-9-89.................6264
615.5320 Correctly removed..........................................7029
(b)(4) revision eff. 2-9-89.....................................6264
615.5325 Correctly removed..........................................7029
615.5330 (Subpart K) Revision eff. 2-9-89...........................6264
615.5350--615.5370 (Subpart L) Removal eff. 2-9-89..................6264
615.5390--615.5430 (Subpart M) Removal eff. 2-9-89..................6264
615.5440 (Subpart N) Removal eff. 2-9-89............................6264
615.5450 Revised (effective date pending)...........................1160
Eff. 2-23-89....................................................7759
615.5451 Removed (effective date pending)...........................1160
Eff. 2-23-89....................................................7759
615.5452 Removed....................................................1160
Eff. 2-23-89....................................................7759
615.5453 Removed....................................................1160
Eff. 2-23-89....................................................7759
615.5460 (b) and (c) revised (effective date pending)...............1160
Eff. 2-23-89....................................................7759
615.5497 Removed (effective date pending)...........................1160
Eff. 2-23-89....................................................7759
618 Authority citation corrected....................................2994
618.8060 Amended; interim...........................................1151
Regulation at 54 FR 1151 confirmed (effective date pending)....50736
618.8100 (Subpart D) Removal eff. 2-22-89...........................7758
618.8160 (Subpart E) Removal eff. 2-22-89...........................7758
618.8440 Addition eff. 2-1-89.......................................5074
620 Authority citation revised; section authority citations
removed.....................................................1155
620.30--620.32 (Subpart D) Addition eff. 2-22-89....................7758
620.40 (Subpart E) Added (effective date pending)...................1155
Eff. 2-23-89....................................................7759
621 Authority citation revised; section authority citations
removed.....................................................1155
621.10 (a) revised (effective date pending).........................1155
Eff. 2-23-89....................................................7759
621.11 Revised (effective date pending).............................1155
Eff. 2-23-89....................................................7759
621.20--621.24 (Subpart C) Added (effective date pending)...........1155
Eff. 2-23-89....................................................7759
624 Revision eff. 2-9-89............................................6284
Chapter VII
Chapter VII Interpretation and policy statement....................31168
700.1 (j) and (k) redesignated as (k) and (l); new (k) revised;
new (j) added..............................................48234
(j) through (l) redesignated as (k) through (m)................52015
701 Interpretation and policy statement............................31168
Authority citation revised..............................31184, 51383
701.1 Revised......................................................31168
701.5 Removed......................................................18474
701.13 Added.......................................................51383
701.20 (c) revised.................................................18470
701.21 (i) revised.................................................18472
(f) revised....................................................43278
701.31 Revised.....................................................46223
701.32 Regulation at 53 FR 50920 comment time extended..............8280
Revised........................................................31184
(c) revised....................................................51384
701.36 Revised.....................................................18467
701.37 Added.......................................................18471
701.37-1 Removed...................................................18471
701.37-2 Removed...................................................18471
702 Authority citation revised.....................................48235
702.2 Revised......................................................48235
702.3 (c) revised..................................................48235
703 Authority citation revised.....................................18473
703.1 Regulation at 53 FR 19752 confirmed..........................18473
703.4 Regulation at 53 FR 19752 confirmed..........................18473
705 Authority citation revised.....................................51384
705.0 Revised......................................................51384
705.7 (b)(1) revised...............................................51384
705.9 Revised......................................................51384
708.301 (a)(2) revised.............................................43280

[[Page 599]]

708.302 (a)(2) and (b)(2) revised..................................43280
708.303 (a) amended................................................43280
741 Authority citation revised.......................31184, 48235, 51383
741.2 Revised......................................................51383
741.5--741.11 Regulation at 53 FR 50920 comment time extended.......8280
741.5 Revised......................................................31184
741.7 (a) revised..................................................48235
747.01 Revised.....................................................43282
747.101 Revised....................................................43282
747.122 Added......................................................43283
747.301--747.306 (Subpart C) Revised...............................43283
747.401--747.408 (Subpart D) Revised...............................43284
747.409 Added......................................................43284
747.501--747.507 (Subpart E) Revised...............................43285
747.601--747.611 (Subpart F) Revised...............................43286
790 Revised........................................................18474
792 Redesignated as Part 796; new 792 added........................18476
796 Redesignated from Part 792.....................................18476
Chapter IX
Chapter IX Established.............................................36758
900--924 (Subchapter A) Added......................................36758
900 Heading added..................................................36758
902 Heading added..................................................36758
904 Heading added..................................................36758
906 Heading added..................................................36758
908 Heading added..................................................36758
910 Redesignated from 12 CFR Part 506 and heading revised..........36759
912 Redesignated from 12 CFR Part 506a and heading revised.........36759
914 Heading added..................................................36758
916 Heading added..................................................36758
918 Heading added..................................................36758
920 Heading added..................................................36759
922 Heading added..................................................36758
924 Heading added..................................................36758
931--944 (Subchapter B) Added......................................36579
931 Redesignated from 12 CFR Part 521..............................36759
932 Redesignated from 12 CFR Part 522..............................36759
Authority citation revised.....................................38591
932.8 Republished..................................................38591
932.9 Republished..................................................38591
932.10 Revised.....................................................38591
932.11 Revised.....................................................38591
932.12 Republished.................................................38591
932.13 Revised.....................................................38591
932.14 Revised.....................................................38591
932.15 Republished.................................................38592
932.16 Revised.....................................................38592
932.17 Removed; eff. thru 6-15-90..................................38593
Added (temporary)..............................................38592
(k) corrected..................................................43384
933 Redesignated from 12 CFR Part 523 and Heading revised..........36759
934 Redesignated from 12 CFR Part 524..............................36759
934 Authority citation revised.....................................36760
934.14 Added.......................................................36760
935 Redesignated from 12 CFR Part 525..............................36759
936 Redesignated from 12 CFR Part 526..............................36759
937 Redesignated from 12 CFR Part 527..............................36759
938 Redesignated from 12 CFR Part 528..............................36759
939 Redesignated from 12 CFR Part 529..............................36759
940 Redesignated from 12 CFR Part 531..............................36759
941 Redesignated from 12 CFR Part 532 and heading revised..........36759
942 Redesignated from 12 CFR Part 533..............................36759
943 Redesignated from 12 CFR Part 534..............................36759
944 Redesignated from 12 CFR Part 535..............................36759
950 (Subchapter C) Added...........................................36759
Heading added..................................................36759
Added..........................................................38595
955 (Subchapter D) Added...........................................36759
955 Heading added..................................................36759
Added..........................................................39729
Chapter XIII
Chapter XIII Established...........................................34487
1300 Added.........................................................34487
Chapter XV
Chapter XV Established.............................................38966
1510--1511 (Subchapter B) Added....................................41950
1510 Added.........................................................41950
1511 Added.........................................................41954

[[Page 600]]

1990

12 CFR
55 FR
Page
Chapter I
3.2 Revised........................................................38800
3.3 Revised........................................................38800
3.4 Revised........................................................38800
3.6 Revised........................................................38800
Correctly redesignated.........................................41171
3.7 Revised........................................................38800
3.9 Revised........................................................38800
3.10 Introductory text and (d) revised; (e) and (f) redesignated
as (g) and (h); new (e) and (f) added......................38800
3.12 (a) revised...................................................38800
3.14 Revised.......................................................38801
3.100 Introductory text and (g) added; (e)(5), (f)(1) introductory
text, (2), and (3) revised.................................38801
5 Authority citation revised.........................................997
5.5 (b) revised....................................................49842
5.24 (c)(4) revised..................................................997
5.33 (b)(6) and (d) revised........................................49842
5.34 (d)(1)(ii) and (iii) revised; (d)(1)(iv) and (4) added..........997
5.36 Added...........................................................998
5.46 (g)(4) added....................................................998
5.47 (g)(3) added....................................................998
5.51 Added (temporary)..............................................7693
5.61 Added.........................................................51274
5.62 Added.........................................................51275
7 Authority citation revised.......................................51276
7.6100 Removed.....................................................51276
7.6125 Removed.....................................................51276
8 Authority citation revised.......................................49842
8.1 Revised........................................................49842
8.2 (a) table and first undesignated paragraph revised; (c)
removed....................................................49842
8.8 Revised........................................................49842
8.15 Added.........................................................49842
11 Authority citation revised......................................49843
11.101 (a) revised.................................................49843
11.103 Heading revised; existing text designated as (a) and
heading added; (b) added...................................49843
11.590 Amended.....................................................21010
16 Authority citation revised......................................49843
16.1 Revised.......................................................49843
16.3 Heading revised; (h) added....................................49843
19 Revised.........................................................13014
25 Authority citation revised......................................26626
25.4 (f) revised; interim..........................................26626
25.5 (a)(2) and (3) redesignated as (a)(3) and (4); new (a)(3),
(4), (c)(1), and (2) revised; new (a)(2), (c)(3), and (d)
added; interim.............................................26626
25.6 Existing text designated as (a) and amended; (b) added;
interim....................................................26626
32.5 (d)(1) and (2) headings added; (d)(3) added.....................857
34 Heading and authority citation revised..........................34696
34.1 (b) revised...................................................34696
34.3 Introductory text revised.....................................34696
34.41--34.47 (Subpart C) Added.....................................34696
Appendix A added; interim; eff. 1-30-91.................53612, 53617
Chapter II
202 Preemption determination.......................................29565
Supplement I amended...........................................12472
Supplement I corrected.........................................14830
203 Order....................................................5444, 34218
203.4 (d)(4) corrected...............................................695
203 Appendix A corrected.......................................695, 2481
204.2 (c)(1)(i) introductory text footnote 2 revised...............50541
204.3 (a)(3)(i)(A) and (B) amended; (a)(3)(i)(C) removed; (c)(2)
revised....................................................50541
204.9 (a)(1) revised...............................................49994
Regulation at 55 FR 49994 withdrawn; (a) revised...............50541
(a)(1) table corrected.........................................53100
205 Supplement II amended..........................................12635
207 OTC margin stock list......................2631, 18591, 31367, 46040
208 Authority citation revised.....................................27771
208.13 Revised.....................................................32831
208.18 Added.......................................................27771
208.19 Added; (a) eff. 1-25-91.....................................52986
208.125--208.127 Redesignated from 250.101--250.103................52987
208 Appendix A amended.............................................32831
Appendix B added...............................................32831
210 Heading and authority citation revised.........................40801
Authority citation corrected...................................47428
210.25--210.32 (Subpart B) Revised.................................40801
210.25 (b)(3) corrected............................................47428
210.26 (e) and (f) corrected.......................................47428
210.29 (b) corrected...............................................47428
210.25--210.32 (Subpart B) Appendix A corrected....................47428
Appendix B corrected...........................................47428

[[Page 601]]

220 OTC margin stock list......................2631, 18591, 31367, 46040
220.2 (i) through (y) redesignated as (k) through (aa); new
(q)(4), (5), (t)(3), (4)(iii) amended; new (i), (j),
(q)(6) and (t)(5) added....................................11159
220.4 (c)(1) amended...............................................11159
220.5 (g) added....................................................11159
220.8 (b)(1) introductory text revised; (b)(1)(i) through (iv);
(c) redesignated as (b)(1)(i)(A) through (iv)(3); new
(b)(1)(i) and (ii) added...................................11159
220.13 (a), (b) and (c) amended; (d) added.........................11160
220.17 (a) and (b) amended; (c), (d), and (e) redesignated as (e),
(f), and (g); Heading, (a) heading, (b) heading, new (e),
(f), and (g) revised; new (c) and (d) added................11160
220.18 (a) and (b) amended.........................................11160
220.131 Added......................................................29566
221 OTC margin stock list......................2631, 18591, 31367, 46040
224 OTC margin stock list......................2631, 18591, 31367, 46040
225 Authority citation revised........................6790, 27771, 47743
225.4 (d) redesignated as (d)(1); new (d)(1) heading revised;
(d)(2) added...............................................47743
225.42 (a) redesignated as (a)(1) and amended; (a)(2) added........47845
225.61--225.67 (Subpart G) Added...................................27771
Appendix A added; interim; eff. 1-30-91.................53617, 53612
225.71--225.73 (Subpart H) Added; interim...........................6790
225 Appendix A amended.............................................32832
Appendix B amended.............................................32832
Appendix D added...............................................32832
226 Supplement I amended...........................................13106
Corrected......................................................17750
Preemption determination; eff. 10-1-91.........................31815
226.5b (f) introductory text, (3) introductory text, and (vi)
introductory text republished; (f)(3)(i), (vi)(E), and (F)
revised; (f)(3)(vi)(G) removed.............................38312
(f)(3)(i) corrected.....................................39538, 42148
226.9 (c)(3) revised...............................................38312
(c)(3) corrected........................................39538, 42148
226 Appendix G amended.............................................38312
228 Authority citation revised.....................................26626
228.4 (f) revised; interim.........................................26627
228.5 (a)(2) and (3) redesignated as (a)(3) and (4); new (a)(3),
(4), (c)(1), and (2) revised; new (a)(2), new (c)(3), and
(d) added; interim.........................................26627
228.6 Existing text designated as (a) and amended; (b) added;
interim....................................................26627
229.3 (a)(2) revised...............................................21855
229.12 (a), (b) introductory text, and (c)(1) introductory text
revised; (b)(3) removed; (b)(4) and (5) redesignated as
(3) and (4); new (b)(4) revised; (d) amended; (f) added;
interim....................................................50818
229.13 (h)(4) revised..............................................21855
229.30 (c) revised.................................................21855
229.35 (a) revised.................................................21855
229.36 (e) concluding text amended; eff. 2-1-91....................21855
229 Appendix F amended.............................................11358
Appendixes A and C amended.....................................21855
Appendix E amended.............................................21856
Appendixes C and E amended; interim............................50818
250.101--250.103 Redesignated as 208.125--208.127..................52987
250.104 Removed....................................................52987
261.10 Amended; interim; eff. 1-2-91...............................49877
264b.3 (a) revised..................................................3576
(a) amended....................................................11360
265.2 (c)(18) revised..............................................30000
(c)(20) amended................................................41185
(b)(13) revised................................................50542
Chapter III
303 Authority citation revised.....................................38042
303.13 (a)(5)(ii), (b)(1), (2), (c)(1)(i), (d)(1) and (2)(i)
amended; (c)(2) revised; (f)(4) added (OMB number).........38042
304.6 Revised......................................................21015
312 Technical correction............................................1912
312.1 (c) revised; (f) through (j) added; interim..................10412
312.4 Revised; interim.............................................10413
312.5 Added; interim...............................................10413
312.6 Revised; interim.............................................10413
312.7 Revised; interim.............................................10413
312.8 Added; interim...............................................10414
312.9 Added; interim...............................................10414
312.10 Added; interim..............................................10414
323 Added..........................................................33888

[[Page 602]]

Appendix A added; interim; eff. 1-30-91.................53612, 53617
325 Authority citation revised.....................................53146
325.1 Amended; eff. 1-28-91........................................53146
325.2 (f) amended; eff. 1-28-91....................................53146
325.5 (g) added; eff. 1-28-91......................................53146
325 Appendix A amended; eff. 1-28-91...............................53147
327.13 (c) added...................................................40817
327.23 (d) added...................................................40817
330 Revised........................................................20122
331 Removed........................................................20122
337 Authority citation revised.....................................23187
337.6 (g) revised; interim; eff. to 8-11-90........................23187
Eff. to 11-9-90................................................28885
Revised........................................................39139
345.4 (f) revised; interim.........................................26627
345.5 (a)(2) and (3) redesignated as (a)(3) and (4); new (a)(3),
(4), (c)(1), and (2) revised; new (a)(2), new (c)(3), and
(d) added; interim.........................................26627
345.6 Existing text designated as (a) and amended; (b) added;
interim....................................................26627
348 Authority citation revised.....................................50543
348.2 (l) amended; (h)(1) revised; (o) added.......................50543
348.4 (a)(5), (6), (b) introductory text and (c) amended; (a)(7),
(8), (b)(6) and (c)(2) added; (c)(1) newly designated.....50543,
50544
348.5 Amended......................................................50544
357 Added; interim.................................................11161
Regulation at 55 FR 11161 confirmed............................38045
360 Added..........................................................46496
360.1 Redesignated from 389.8-1....................................46496
360.2 Redesignated from 389.11.....................................46496
(c) removed....................................................46497
382 Removed........................................................46496
383 Removed........................................................46496
384 Removed........................................................46496
385 Removed........................................................46496
386.1 (d) removed..................................................46496
386.2--386.13 Removed..............................................20122
386 Appendix removed...............................................20122
387 Removed........................................................46496
388 Removed........................................................46496
389 Removed........................................................46497
389.7-1 Correctly added............................................35564
389.8-1 Correctly added............................................35564
Redesignated as 360.1..........................................46496
389.11 Redesignated as 360.2.......................................46496
390 Removed........................................................46496
391 Removed........................................................46496
392 Removed........................................................46496
393 Removed........................................................46496
394 Removed........................................................46496
395 Removed........................................................46496
396 Removed........................................................46496
Chapter IV
411 Added; interim............................................6737, 6747
Chapter V
500.32 (c) added...................................................13509
502 Revised........................................................34529
503.2 Added........................................................31371
506.1 (b) revised (OMB numbers)....................................22892
(b) table amended..............................................34546
510.5 Added.........................................................7695
528 Revised.........................................................1388
543.2 (b) and (d)(2) revised.......................................13510
543.9 (a) revised..................................................13510
544.2 (a), (c) and (e) revised; (d)(2) amended.....................13510
544.3 Introductory text amended....................................13511
544.5 (a) and (d) revised; (c)(2) amended..........................13511
545.32 (b)(1) amended..............................................34547
545.74 (c) introductory text, (3)(vi) and (g) revised..............13511
545.75 (b)(3) revised; interim.....................................11307
(b)(3) revised.................................................28162
545.77 (b) revised.................................................13512
545.82 (f)(1) introductory text, (3)(i), and (iii) revised.........13512
545.92 (c) revised.................................................13512
545.96 (b) revised.................................................13512
545.132 Removed....................................................34699
546.2 (d)(1) revised...............................................13512
546.4 Concluding text amended......................................13512
550.2 (a) revised..................................................13512
550.14 (a) revised.................................................13513
552.2-2 (b) revised................................................13513
552.4 (a), (d) and (f) revised; (e)(2) amended.....................13513
552.5 (c) and (e) revised; (d)(2) amended..........................13513
552.6-3 (a) amended................................................13514
552.10 Revised.....................................................13514
563.1 (b) revised..................................................13514
563.10 (c)(1) introductory text revised............................13514
563.22 (c)(2), (d)(1) and (f)(1) revised...........................13514
563.38 (b) amended.................................................13514
563.41 (b) revised.................................................13515
563.74 (e) revised.................................................13515

[[Page 603]]

563.75 (i) removed..................................................7300
(e) revised....................................................13515
563.80 (e)(2) revised...............................................7300
(e)(2) amended.................................................13515
563.81 (e) revised; (j) amended....................................13515
563.93 Revised; interim............................................11307
Revised........................................................28162
(a) corrected..................................................29453
563.98 (g)(1) revised..............................................13515
563.131 (c) introductory text revised..............................13515
563.132 (c) and (d) removed; (e) redesignated as new (c)............4602
(c)(1) introductory text, (3) and (5) revised..................13515
563.134 Added......................................................27196
563.170 (c)(1)(iv) revised.........................................34547
563.171 Redesignated as 564.8 and heading, (b), (c)(1), (2) and
(d) introductory text revised..............................34549
563.172 (a) amended................................................34547
563.233 (e)(1) and (3)(i) revised; (e)(4) amended..................13516
563b.3 (i)(3)(i) revised...........................................13516
(g)(2) revised; (g)(3) removed; (g)(4) redesignated as (g)(3)
27197
563b.28 (a) revised................................................13516
563d.1 Amended.....................................................34531
563d.2 Revised......................................................3041
563e.4 (f) revised; interim........................................26628
563e.5 (a)(2) and (3) redesignated as (a)(3) and (4); new (a)(3),
(4), (c)(1), and (2) revised; new (a)(2), new (c)(3), and
(d) added; interim.........................................26628
563e.6 Existing text designated as (a) and amended; (b) added;
interim....................................................26628
563f.7 Amended.....................................................13516
564 Added..........................................................34547
564.8 Redesignated from 563.171; heading, (b), (c)(1), (2), and
(d) introductory text revised..............................34549
(c)(2) and (d) corrected.......................................43440
564 Appendix A added; interim; eff. 1-30-91.................53612, 53618
567.3 (d)(2)(i) introductory text revised..........................13516
567.4 (a)(3)(i) introductory text revised..........................13517
567.13 Added........................................................7478
571 Technical correction.............................................696
571.19 (e) amended...................................................126
571.27 Removed.....................................................34550
574.6 (b)(1)(i), (iv), (2) through (6), (d)(2) introductory text
and (3) revised; (b)(1)(ii) and (d)(2) amended.............13517
584.1 (a)(4), (b) and (e) revised..................................13517
584.2-1 (c)(1) amended.............................................13518
584.2-2 (b) amended................................................13518
584.5 Amended......................................................13518
Chapter VI
600.10 (Subpart B) Regulation at 54 FR 50735 eff. 3-6-90............7884
611.1162 Regulation at 54 FR 1148 corrected........................10042
611.1167 Regulation at 54 FR 1148 corrected........................10042
611.1172 Regulation at 54 FR 1148 corrected........................10042
611.1174 Regulation at 54 FR 1148 corrected........................10042
612.2150 Regulation at 54 FR 50736 eff. 3-6-90......................7884
612.2160 Regulation at 54 FR 50736 eff. 3-6-90......................7884
613 Authority citation revised; sectional authority citations
removed....................................................24877
Technical correction....................................25773, 41309
613.3000--613.3005 (Subpart A) Revised (effective date pending)....24877
Regulation at 55 FR 24877 eff. 7-30-90.........................30903
613.3000 Corrected.................................................28511
613.3005 Redesignated from 614.4160 (effective date pending).......24880
(c) corrected..................................................28511
Regulation at 55 FR 24880 eff. 7-30-90.........................30903
613.3010--613.3050 (Subpart B) Heading revised (effective date
pending)...................................................24877
Regulation at 55 FR 24877 eff. 7-30-90.........................30903
613.3010 Revised (effective date pending)..........................24877
Regulation at 55 FR 24877 eff. 7-30-90.........................30903
613.3020 Revised (effective date pending)..........................24877
Regulation at 55 FR 24877 eff. 7-30-90.........................30903
613.3040 (d)(3) removed; (d)(4) redesignated as (d)(3); (d)(2)
revised (effective date pending)...........................24878

[[Page 604]]

Regulation at 55 FR 24878 eff. 7-30-90.........................30903
613.3045 Revised (effective date pending)..........................24878
(c)(4) corrected...............................................28511
Regulation at 55 FR 24878 eff. 7-30-90.........................30903
613.3050 (c) revised (effective date pending)......................24878
Regulation at 55 FR 24878 eff. 7-30-90.........................30903
613.3060 (Subpart C) Heading and section revised (effective date
pending)...................................................24879
Regulation at 55 FR 24879 eff. 7-30-90.........................30903
613.3110 (Subpart D) Heading, (a)(4), (b) heading, (1)
introductory text, (2), and (4) revised; (c) redesignated
as (d); new (c) added (effective date pending).............24879
(c)(2) corrected...............................................28511
(b)(2)(i) correctly revised....................................28885
Regulation at 55 FR 24879 eff. 7-30-90.........................30903
613.3120 Added (effective date pending)............................24879
(b) correctly revised..........................................28885
Regulation at 55 FR 24879 eff. 7-30-90.........................30903
614 Sectional authority citations removed...................12473, 24879
Technical correction....................................25773, 41309
614.4000--614.4050 (Subpart A) Revised (effective date pending)....24880
Regulation at 55 FR 24880 eff. 7-30-90.........................30903
614.4030 Redesignated as 614.4100 (effective date pending).........24879
Regulation at 55 FR 24879 eff. 7-30-90.........................30903
614.4040 Redesignated as 614.4145 (effective date pending).........24879
(a)(3) corrected...............................................28511
Regulation at 55 FR 24879 eff. 7-30-90.........................30903
614.4050 Redesignated as 614.4135 (effective date pending).........24879
(b)(1)(ii) corrected...........................................28511
Regulation at 55 FR 24879 eff. 7-30-90.........................30903
614.4060 Redesignated as 614.4140 (effective date pending).........24879
Regulation at 55 FR 24879 eff. 7-30-90.........................30903
614.4070--614.4080 (Subpart B) Revised (effective date pending)....24882
Regulation at 55 FR 24882 eff. 7-30-90.........................30903
614.4090 Removed (effective date pending)..........................24879
Regulation at 55 FR 24879 eff. 7-30-90.........................30903
614.4100--614.4145 (Subpart C) Heading revised (effective date
pending)...................................................24882
Regulation at 55 FR 24882 eff. 7-30-90.........................30903
614.4100 Removed; new 614.4100 redesignated from 614.4030..........24879
Revised (effective date pending)...............................24883
Regulation at 55 FR 24883 eff. 7-30-90.........................30903
614.4110 Revised (effective date pending)..........................24883
Regulation at 55 FR 24883 eff. 7-30-90.........................30903
614.4120 Revised (effective date pending)..........................24883
Regulation at 55 FR 24883 eff. 7-30-90.........................30903
614.4130 Removed (effective date pending)..........................24879
(a) and (b) redesignated from 614.4190 (c) and (d) (effective
date pending)......................................................24880
Heading revised; (a), (b), and (c) amended (effective date
pending)...........................................................24883
Regulations at 55 FR 24879 and 24883 eff. 7-30-90..............30903
614.4135 Redesignated from 614.4050 (effective date pending).......24879
Regulation at 55 FR 24879 eff. 7-30-90.........................30903
614.4140 Redesignated as 614.4150; new 614.4140 redesignated from
614.4060 (effective date pending)..........................24880
Regulation at 55 FR 24880 eff. 7-30-90.........................30903
614.4145 Redesignated from 614.4040 (effective date pending).......24879
Regulation at 55 FR 24879 eff. 7-30-90.........................30903

[[Page 605]]

614.4150 Redesignated as 614.4160 and revised; new 614.4150
redesignated from 614.4140 (effective date pending)........24880
Regulation at 55 FR 24880 eff. 7-30-90.........................30903
614.4160 Redesignated as 613.3005; new 614.4160 redesignated from
614.4150 (effective date pending)..........................24880
Revised........................................................24883
(e) corrected..................................................28511
Technical correction...........................................42303
Regulation at 55 FR 24880 eff. 7-30-90.........................30903
614.4165 (f) removed; (c) introductory text and (d) revised
(effective date pending)...................................24883
Regulation at 55 FR 24883 eff. 7-30-90.........................30903
614.4170 Removed (effective date pending)..........................24883
Regulation at 55 FR 24883 eff. 7-30-90.........................30903
614.4180 Removed (effective date pending)..........................24883
Regulation at 55 FR 24883 eff. 7-30-90.........................30903
614.4190 (c) and (d) redesignated as 614.4130 (a) and (b)
(effective date pending)...................................24880
(a) and (b) removed (effective date pending)...................24883
Regulations at 55 FR 24880 and 24883 eff. 7-30-90..............30903
614.4200--614.4233 (Subpart E) Revised (effective date pending)....24884
Regulation at 55 FR 24884 eff. 7-30-90.........................30903
614.4220 Redesignated as 614.4240 (effective date pending).........24880
(a) and (c) removed (effective date pending)...................24884
Regulations at 55 FR 24880 and 24884 eff. 7-30-90..............30903
614.4222 Corrected.................................................28511
614.4230 Removed (effective date pending)..........................24884
(a)(2) corrected...............................................28511
Regulation at 55 FR 24884 eff. 7-30-90.........................30903
614.4231 (a)(2)(iii) corrected.....................................28511
(a)(2) introductory text correctly revised.....................28885
614.4233 (b) correctly revised.....................................28886
Introductory text corrected....................................50544
614.4240--614.4261 (Subpart F) Heading revised (effective date
pending)...................................................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4240 (b) redesignated as 614.4130 (c); new 614.4240
redesignated from 614.4220 (effective date pending)........24880
(a) and (c) removed (effective date pending)...................24884
Regulation at 55 FR 24880 eff. 7-30-90.........................30903
614.4250 Removed (effective date pending)..........................24885
Regulation at 55 FR 24885 eff. 7-30-90.........................30903
614.4260 Removed (effective date pending)..........................24885
Regulation at 55 FR 24885 eff. 7-30-90.........................30903
614.4280 Regulation at 55 FR 50736 eff. 3-6-90......................7884
614.4320 Regulation at 54 FR 50736 eff. 3-6-90......................7884
614.4321 Regulation at 54 FR 50736 eff. 3-6-90......................7884
614.4340 Regulation at 54 FR 50736 eff. 3-6-90......................7884
614.4345 Regulation at 54 FR 50736 eff. 3-6-90......................7884
614.4354 (a)(1)(iii), (vi), (viii), and (x) amended (effective
date pending)..............................................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4460 Regulation at 54 FR 50736 eff. 3-6-90......................7884
614.4511 Regulation at 54 FR 50736 eff. 3-6-90......................7884
614.4525 (a) revised; (b) amended (effective date pending).........24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4530 Heading and introductory text amended (effective date
pending)...................................................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4540--614.4660 (Subpart P) Heading revised (effective date
pending)...................................................24886
Regulation at 55 FR 24886; eff. 7-30-90........................30903

[[Page 606]]

614.4540 (e) revised; (h) and (i) added (effective date pending)
24886
Regulation at 55 FR 24886; eff. 7-30-90........................30903
614.4545 (a), (b), (c) introductory text, (d) and (e) amended
(effective date pending)...................................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4550 (a) introductory text, (1), (2), (3), and (b) amended
(effective date pending)...................................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4555 Amended (effective date pending)..........................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4560 (a), (b)(1), (2), (3), (4), and (5) amended (effective
date pending)..............................................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4565 Amended (effective date pending)..........................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4570 Amended (effective date pending)..........................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4580 Amended (effective date pending)..........................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4590 Amended (effective date pending)..........................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4600 (a) introductory text, (1) and (2) amended (effective
date pending)..............................................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4610 Amended (effective date pending)..........................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4620 Amended (effective date pending)..........................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4630 (a) amended (effective date pending)......................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4640 Amended (effective date pending)..........................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4650 (a) introductory text, (1) and (b) amended (effective
date pending)..............................................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4660 Amended (effective date pending)..........................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4700 (a) revised (effective date pending)......................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4710 Revised (effective date pending)..........................24886
Regulation at 55 FR 24886 eff. 7-30-90.........................30903
614.4720 Introductory text and (a) revised (effective date
pending)...................................................24887
Regulation at 55 FR 24887 eff. 7-30-90.........................30903
614.4800 Revised (effective date pending)..........................24887
Regulation at 55 FR 24887 eff. 7-30-90.........................30903
614.4810 (a) introductory text and (b) amended (effective date
pending)...................................................24887
Regulation at 55 FR 24887 eff. 7-30-90.........................30903
614.4900 (a), (b) introductory text and (i) revised (effective
date pending)..............................................24887
Regulation at 55 FR 24887 eff. 7-30-90.........................30903
615 Authority citation correctly revised...........................12473
Authority citation revised; sectional authority citation
removed............................................................24887
Technical correction.............................25773, 28511, 41309
615.5040 Regulation at 54 FR 50736 eff. 3-6-90......................7884
615.5104 Regulation at 54 FR 50736 eff. 3-6-90......................7884
615.5135 Regulation at 54 FR 50736 eff. 3-6-90......................7884

[[Page 607]]

615.5143 Regulation at 54 FR 50736 eff. 3-6-90......................7884
615.5160 (c) removed; (d) and (e) redesignated as (c) and (d); (a)
and new (c) revised (effective date pending)...............24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
Heading correctly revised......................................38313
615.5190 Regulation at 54 FR 50736 eff. 3-6-90......................7884
(a) revised; (b) amended (effective date pending)..............24888
(b) correctly amended..........................................42184
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
615.5550 Revised (effective date pending)..........................24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
616 Removed (effective date pending)...............................24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
Technical correction.............................25773, 28511, 41309
618 Sectional authority citations removed..........................24888
Technical correction.............................25773, 28511, 41309
618.8050 Revised (effective date pending)..........................24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
618.8060 Regulation at 54 FR 50736 eff. 3-6-90......................7884
618.8430 Revised (effective date pending)..........................24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
619 Authority citation revised; sectional authority citations
removed....................................................24888
Technical correction.............................25773, 28511, 41309
619.9015 Added (effective date pending)............................24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
619.9020 Redesignated as 619.9025; new 619.9020 added (effective
date pending)..............................................24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
619.9025 Redesignated from 619.9020 (effective date pending).......24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
619.9050 Revised (effective date pending)..........................24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
619.9060 Redesignated as 619.9065; new 619.9060 added (effective
date pending)..............................................24888
Correctly revised..............................................28886
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
619.9065 Redesignated from 619.9060 (effective date pending).......24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
619.9080 Amended (effective date pending)..........................24889
Regulation at 55 FR 24889 eff. 7-30-90.........................30903
619.9135 Redesignated as 619.9146 (effective date pending).........24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
Added (effective date pending).................................24889
Regulation at 55 FR 24889 eff. 7-30-90.........................30903
619.9140 Redesignated as 619.9150 (effective date pending).........24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
Added (effective date pending).................................24889
Regulation at 55 FR 24889 eff. 7-30-90.........................30903
619.9145 Added (effective date pending)............................24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
619.9146 Redesignated from 619.9135 and revised (effective date
pending)...................................................24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
Revised (effective date pending)...............................24889
Regulation at 55 FR 24889 eff. 7-30-90.........................30903

[[Page 608]]

619.9150 Redesignated as 619.9160; new 619.9150 redesignated from
619.9140 (effective date pending)..........................24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
619.9155 Added (effective date pending)............................24889
Regulation at 55 FR 24889 eff. 7-30-90.........................30903
619.9160 Redesignated as 619.9165 and amended (effective date
pending)...................................................24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
619.9165 Redesignated from 619.9160 and amended (effective date
pending)...................................................24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
619.9185 Added (effective date pending)............................24888
Regulation at 55 FR 24888 eff. 7-30-90.........................30903
619.9290 Amended (effective date pending)..........................24889
Regulation at 55 FR 24889 eff. 7-30-90.........................30903
619.9320 Amended (effective date pending)..........................24889
Regulation at 55 FR 24889 eff. 7-30-90.........................30903
Chapter VII
700 Authority citation revised......................................1794
700.1 (h) and (i) removed; (j) through (m) redesignated as (h)
through (k).................................................1794
701 Authority citation revised......................................1794
701.6 (d) added.....................................................1799
701.14 Added.......................................................43086
701.19 Existing regulation confirmed...............................30198
701.21 (c)(7) revised...............................................1797
(a) revised....................................................30207
701.32 Heading revised; (d) added...................................1794
705 Authority citation revised......................................1794
705.3 Revised.......................................................1794
722 Added..........................................................30207
Appendix A added; interim; eff. 1-30-91.................53612, 53618
724 Revised........................................................30211
741 Authority citation revised........................1794, 30210, 43089
741.4 Redesignated as 741.5; new 741.4 added.......................30210
741.5 Revised.......................................................1794
Redesignated as 741.6; new 741.5 redesignated from 741.4.......30210
741.6 Redesignated as 741.7; new 741.6 redesignated from 741.5.....30210
741.7 Redesignated as 741.8; new 741.7 redesignated from 741.6.....30210
741.8 Redesignated as 741.9; new 741.8 redesignated from 741.7.....30210
Redesignated as 741.9; new 741.8 added.........................43087
741.9 (k) added.....................................................1799
Redesignated as 741.10; new 741.9 redesignated from 741.8......30210
Redesignated as 741.10; new 741.9 redesignated from 741.8......43087
741.10 Redesignated as 741.11; new 741.10 redesignated from 741.9
30210
Redesignated as 741.11; new 741.10 redesignated from 741.9.....43087
741.11 Redesignated as 741.12; new 741.11 redesignated from 741.10
30210
Redesignated as 741.12; new 741.11 redesignated from 741.10....43087
741.12 Redesignated from 741.11....................................30210
Redesignated as 741.13; new 741.12 redesignated from 741.11....43087
741.13 Redesignated from 741.12....................................43087
741.14 Added.......................................................43089
745 Heading and authority citation revised..........................5586
745.0--745.13 Designated as Subpart A; heading added................5586
745.200--745.203 (Subpart B) Added..................................5586
745 Appendix amended...............................................47455
747 Authority citation revised...............................5589, 43090
Heading revised................................................31038
747.1001--747.1003 (Subpart J) Added................................5590
747.1101--747.1107 (Subpart K) Added................................5590
747.1201--747.1205 (Subpart L) Added...............................43090
749 Revised........................................................30212
Chapter IX
910 Authority citation revised......................................2229
910.1 Amended.......................................................2229

[[Page 609]]

910.5 Amended.......................................................2229
910.6 Amended.......................................................2229
912 Authority citation revised......................................2229
912.1 (b) amended...................................................2228
912.4 (b) amended...................................................2229
931 Authority citation revised................................1397, 2229
931.3 Revised.......................................................2229
931.6 Removed......................................................41996
931.14 Added; interim...............................................1397
931.15 Added; interim...............................................1397
931.16 Added; interim...............................................1397
931.17 Added; interim...............................................1397
931.18 Added; interim...............................................1397
931.19 Added; interim...............................................1397
931.20 Added; interim...............................................1397
931.21 Added; interim...............................................1397
931.22 Added; interim...............................................1398
931.23 Added; interim...............................................1398
931.24 Added; interim...............................................1398
931.25 Added; interim...............................................1398
932 Authority citation revised......................................1398
Effective date..................................................2229
Undesignated center headings removed; interim...................1398
932.14 (d) amended; interim.........................................1398
932.18 Added; interim...............................................1398
932.19 Added; interim...............................................1399
932.20 Added; interim...............................................1399
932.21 Added; interim...............................................1399
932.22 Added; interim...............................................1400
932.42 Removed; interim.............................................1400
932.60 (b) amended..................................................2228
932.65 Removed......................................................2229
933 Authority citation revised......................................2229
933.5 (b), (c) (1), (d), (f), and (g) amended; (c) heading and
introductory text revised...................................2229
933.6 Removed.......................................................2229
933.13 Undesignated center heading and section removed.............41996
933.14 Removed......................................................2229
933.15 Removed......................................................2229
933.16 Removed......................................................2229
933.17 Removed......................................................2229
933.31 Undesignated center heading and section removed.............41996
934 Authority citation revised.....................................50545
934.3 Amended.......................................................2229
934.5 Introductory text amended.....................................2229
934.6 Amended.......................................................2229
934.11 Amended......................................................2229
934.12 Amended......................................................2229
934.15 Added; interim..............................................50545
935 Authority citation revised......................................2229
935.1 (a) and (b) amended...........................................2229
935.33 Amended......................................................2229
936 Authority citation revised......................................2230
Removed........................................................41996
936.1 (a) and (c) amended...........................................2230
937 Authority citation revised......................................2230
937.2 (c) amended...................................................2230
937.4 Amended.......................................................2230
937.6 Amended.......................................................2230
937.8 Amended.......................................................2230
938 Authority citation revised......................................2230
Removed........................................................41996
938.1 Introductory text and (a) amended.............................2230
938.2 Amended.......................................................2230
938.3 Cross-reference amended.......................................2230
938.4 Cross-reference amended.......................................2230
938.5 Cross-reference and (a) introductory text amended.............2230
938.7 (b) amended...................................................2230
938.8 (d)(1) amended................................................2230
938.9 (f) introductory text amended.................................2230
938.10 Amended......................................................2230
939 Authority citation revised......................................2230
939.1 Amended.......................................................2228
939.2 (b) revised...................................................2230
939.3 Introductory text and (d) amended.............................2230
939.8 (a)(2) removed; (a)(3) redesignated as (a)(2); (b) and
(c)(3) amended..............................................2230
939.9 (a) and (e) amended; (d)(1) revised...........................2230
939.10 (c) amended..................................................2230
939.12 (c) amended..................................................2231
940 Authority citation revised......................................2231
940.2 (a) and (b)(3) amended........................................2231
940.4 (a) and (c)(7) and (8) amended................................2231
Removed........................................................41996
940.5 (d) amended...................................................2231
940.6 Removed......................................................41996
941 Authority citation revised......................................2231
Removed........................................................41996
941.1 Amended.......................................................2231
942 Authority citation revised......................................2231
Removed........................................................41996
943 Authority citation revised......................................2231
943.4 Introductory text amended.....................................2231
944 Authority citation revised......................................2231
Removed........................................................41996
944.1 (b) amended...................................................2231
950 Authority citation revised......................................2231
955 Authority citation revised......................................2231

[[Page 610]]

960 ([hairsp]Subchapter E and Part) Added; interim..................7485
Chapter XIV
Chapter XIV Established (effective date pending)...................36610
Regulation at 55 FR 36610 eff. 10-9-90.........................41185
1400 Added (effective date pending)................................36610
Regulation at 55 FR 36610 eff. 10-9-90.........................41185
Chapter XV
1505 Added; interim.................................................5358
1505.19 (b) corrected..............................................11719
1505.26 Corrected..................................................11719
1505.27 (d) corrected..............................................11719
1505.33 Corrected..................................................11719
1505.40 (c)(3) corrected...........................................11719
1506 (Subchapter A and Part) Added............................5350, 5356
1506.4 (a)(1), (b)(2), (4), and (c) corrected......................11720
1506.5 Section designation and (a) introductory text corrected.....11720
1506.7 (g) corrected...............................................11720
1506.15 (c) corrected..............................................11720
Chapter XVI
Chapter XVI Established.............................................5356
1605 Added..........................................................5370
1606 Added....................................................5350, 5356
1606.4 (a)(1), (b)(2), (4), and (c) corrected......................11720
1606.5 Section designation and (a) introductory text corrected.....11720
1606.7 (g) corrected...............................................11720
1606.15 (c) corrected..............................................11720
1608 Added.........................................................34228
Appendix A added; interim; eff. 1-30-91.................53612, 53618
1609 Added; interim................................................14084
Revised........................................................35568
1611 Added (eff. date pending in part).............................22328

1991

12 CFR
56 FR
Page
Chapter I
4 Authority citation revised.......................................22639
4.15 (a)(11) added; interim........................................22639
7.3400 Removed.....................................................28316
19 Authority citation revised......................................22639
Revised........................................................38028
19.5 (b)(6) corrected..............................................41726
19.6 (a)(3) corrected.......................................41726, 63551
19.17 Corrected....................................................41726
19.40 (b) revised; interim.........................................22639
19.43 Revised; interim.............................................22640
19.44 Revised; interim.............................................22640
19.190 Corrected...................................................41726
19.197 (c) corrected...............................................46667
21.1--21.4 (Subpart A) Revised.....................................29564
21.11 (f)(1) revised; OMB number...................................29564
21 Appendixes A and B removed......................................29564
23 Added...........................................................28316
25.4 Regulation at 55 FR 26626 confirmed...........................26901
25.5 Regulation at 55 FR 26626 confirmed; (a)(3) and (c)(3)
revised....................................................26901
25.6 Regulation at 55 FR 26626 confirmed...........................26901
32.2 (d) revised; (f) added........................................37275
32.9 Added.........................................................37276
34.41--34.47 (Subpart C) Appendix A corrected.......................1229
Chapter II
201.51 Revised...........................1567, 6556, 22641, 48731, 58303
201.52 Revised...........................1567, 6556, 22641, 48731, 58303
202 Appendix A amended.............................................51322
Supplement I amended....................................14462, 16265
203 Order...........................................................5746
203.2 (c)(2) amended; (e)(2) revised...............................59857
203.4 (a) introductory text revised................................59857
(a) introductory text corrected................................66343
203.6 (a) revised..................................................59857
203 Appendix A revised.............................................59857
204.2 (b)(3)(ii)(A), (c)(1)(i) footnote 1, (d)(2), (e)(2), and
(f)(2) revised; (e)(4) amended; (b)(3)(iv) removed;
(b)(3)(v) and (vi) redesignated as (b)(3)(iv) and (v)......15494
204.7 (a) revised..................................................15495
204.8 (a)(2)(i)(B)(5) footnote 14 revised..........................15495
204.9 (a)(1 and (2) revised........................................60055
204.121--204.132 Undesignated center heading added.................15495
204.125 Heading and introductory text revised; list amended........15495
207 OTC margin stock list......................3773, 19548, 35807, 55442

[[Page 611]]

207.1 (b) redesignated as (b)(1); (b)(2) added.....................46110
207.3 (l)(1)(i), (ii) and (3) revised..............................46111
207.13 Added.......................................................46228
208.125 Regulation at 55 FR 52987 effective date corrected...........627
208.126 Regulation at 55 FR 52987 effective date corrected...........627
208.127 Regulation at 55 FR 52987 effective date corrected...........627
208.128 Added......................................................63407
208 Appendix A amended.............................................51156
211 Authority citation revised.....................................19565
211.1--211.7 (Subpart A) Revised...................................19565
Regulation at 56 FR 19565 effective date corrected.............23010
211.21 Revised.....................................................19574
Regulation at 56 FR 19574 effective date corrected.............23010
211.22 (a)(2) and (5) revised......................................19574
Regulation at 56 FR 19574 effective date corrected.............23010
211.23 (d), (e), (f)(4), (5), (g) and (h) revised; (i) added.......19574
Regulation at 56 FR 19574 effective date corrected.............23010
211.31--211.34 (Subpart C) Revised.................................19575
Regulation at 56 FR 19575 effective date corrected.............23010
211.603 Added......................................................63408
213 Authority citation revised.....................................51322
Appendix D amended.............................................51322
Authority citation corrected...................................65130
216 Revised........................................................13071
220 OTC margin stock list......................3773, 19548, 35805, 55442
220.14 Heading and (b) revised.....................................46110
221 OTC margin stock list......................3773, 19548, 35805, 55442
221.3 (i)(1)(i), (ii) and (3) revised..............................46111
(i)(1)(i) correctly designated.................................66120
221.124 Added......................................................46228
224 OTC margin stock list......................3773, 19548, 35805, 55442
225 Heading corrected...............................................1229
225.6 (a) amended..................................................38052
225 Appendix A amended.............................................51156
226 Preemption determination........................................3005
Authority citation revised.....................................13754
Supplement I amended...........................................13754
Supplement I corrected..................................22200, 23993
Appendix I amended.............................................51322
228.4 Regulation at 55 FR 26627 confirmed..........................26902
228.5 Regulation at 55 FR 26626 confirmed; (a)(3) and (c)(3)
revised....................................................26902
228.6 Regulation at 55 FR 26627 confirmed..........................26902
229.12 (a), (b) introductory text (4) and (c)(1) introductory text
revised; (d) amended and (f) revised; final.................7801
(a), (b) introductory text, (4), (c)(1) introductory text, (d)
and (f) corrected..................................................66343
229 Appendixes C and E amended; final...............................7802
Appendix E corrected...........................................66343
250.101 Regulation at 55 FR 52987 effective date corrected...........627
250.102 Regulation at 55 FR 52987 effective date corrected...........627
250.103 Regulation at 55 FR 52987 effective date corrected...........627
250.104 Regulation at 55 FR 52987 effective date corrected...........627
261.10 Regulation at 55 FR 49877 confirmed.........................29412
262.3 (i)(2) amended...............................................38052
(i)(2) corrected...............................................60056
263 Revised........................................................38052
263.16 Corrected...................................................60056
265 Revised........................................................25619
Authority citation revised.....................................67153
265.2 (c)(10) and (f)(7)(i) revised; (c)(24), (26) and (f)(7)(ii)
removed; (f)(50) and (51) added.............................6261
(b)(14), (c)(37) and (f)(52) added..............................8687
(c)(38) added; (f)(46)(iii) and (v) removed; (f)(46)(iv) and
(vi) redesignated as (f)(46)(iii) and (iv); (f)(46)(ii) revised;
(f)(53) added......................................................19576
Regulation at 56 FR 19576 effective date corrected; (c)(38)
corrected..........................................................23010
265.4 (a)(2) amended...............................................67154
265.5 (c)(2) revised...............................................67153
(d)(1) introductory text and (2) introductory text amended.....67154
265.6 (a)(4), (c)(3), (5) and (d)(2) amended.......................67154

[[Page 612]]

265.7 Heading, introductory text, (a)(2), (4), (c)(2), (4)(i),
(d)(2), (3), (5), (7)(i), (e)(3) and (f)(2) amended;
(c)(6) added; (e)(5), (6) and (f)(10) revised; revised....67153,
67154
265.9 (b) revised..................................................67154
265.11 (a)(2), (3), (13), (15) introductory text, (c)(6), (9)(i)
and (d)(2) introductory text amended; (f) revised..........67154
268.101 (b) revised................................................32955
268.1001--268.1004 (Subpart J) Added...............................32955
268.1001 Revised...................................................64190
268.1002 Revised...................................................64191
271 Authority citation revised.....................................23994
271.1 Revised......................................................23994
271.2 (b) revised; (c) and (d) added...............................23994
271.4 (c) revised; (f) removed.....................................23994
271.5 (b)(3) revised...............................................23995
271.6 (b) and (d) revised; (e) and (f) amended; (g) and (h) added
23995
271.8 Added........................................................23995
271 Appendix A added...............................................23996
Chapter III
303 Authority citation revised.....................................23011
303.0 (b)(21), (22) and (23) amended...............................23011
303.9 (i)(3) revised...............................................18684
(a)(1) and (2) amended.........................................23011
303.10 (c)(1)(i) amended...........................................23011
308 Revised........................................................37975
312 Authority citation revised.....................................29895
312.2 Revised......................................................29895
312.3 Revised......................................................29895
323 Appendix A corrected............................................1229
324 Authority citation revised.....................................23011
324.4 Amended......................................................23011
325 Authority citation revised.....................................10160
325.1 Revised......................................................10160
325.2 Revised......................................................10160
325.3 Revised......................................................10162
325.4 Revised......................................................10162
325.5 Revised......................................................10163
325.6 Revised......................................................10164
325.101 Removed....................................................10165
325.102 Removed....................................................10165
325 Appendix A amended.............................................10165
Appendix B added...............................................10166
326.0--326.4 (Subpart A) Revised...................................13581
326 Appendixes A and B removed.....................................13582
327.13 (c) revised.................................................21068
333 Authority citation revised.....................................20528
333.3 Added........................................................20528
338 Authority citation revised.....................................50038
338.1--338.4 Designated as subpart A and heading added.............50040
338.1 Revised......................................................50038
338.2 Redesignated as 338.3; new 338.2 added.......................50039
338.3 Redesignated as 338.4; new 338.3 redesignated from 338.2;
(a)(1) revised.............................................50039
338.4 Redesignated as 338.7; new 338.4 redesignated from 338.3.....50039
338.5--338.9 Designated as subpart B and heading added.............50040
338.5 Redesignated as 338.9; new 338.5 added.......................50039
338.6 Added........................................................50040
338.7 Redesignated from 338.4; (a)(1) introductory text, (i)
heading, (B)(3), (2) introductory text, (i) heading,
(B)(3), (c), and (d) revised; (a) footnote 2 and
(a)(2)(ii) footnote 3 redesignated as footnote 1 and
footnote 2 and republished; (a)(2)(iv), (f) and (g)
removed (OMB number).......................................50039
338.8 Added........................................................50040
338.9 Redesignated from 338.5; text amended; (a), (b) and (c)
added......................................................50039
338.5--338.9 (Subpart B) Appendix A redesignated from Appendix A
to part 338 and revised....................................50040
Appendix B added...............................................50042
338 Appendix A designated as Appendix A to subpart B and revised
50040
345.4 Regulation at 55 FR 26627 confirmed..........................26904
345.5 Regulation at 55 FR 26627 confirmed; (a)(3) and (c)(3)
revised (OMB number).......................................26904
345.6 Regulation at 55 FR 26627 confirmed..........................26904
Chapter V
505.2 Revised......................................................59866
505.3 Revised......................................................59866
505.4 Revised......................................................59866
506.1 (b) table amended.....................................29566, 34010
508.4 (b) amended..................................................38306
508.6 (c) amended..................................................38306
508.7 (a) amended..................................................38306
508.13 (b) amended.................................................38306

[[Page 613]]

508.14 Amended.....................................................38306
509 Revised........................................................38306
509.1 (c) revised..................................................59866
512.7 (b) introductory text and (4) amended........................38317
513.1 Amended......................................................38317
513.5 (b) amended..................................................38318
545.12 (b) amended.................................................59866
545.121 (g) amended................................................59866
552.6-2 (a) and (b) amended........................................59866
563.41 (b) and (c) redesignated as 563.43(e) and (f); removed......34010
Added..........................................................34011
563.42 Added.......................................................34013
563.43 (e) and (f) redesignated from 563.41(b) and (c); heading
and (a) revised............................................34010
(f) introductory text revised..................................59866
563.45 Amended.....................................................59866
563.50 Added.......................................................31067
563.51 Added.......................................................31067
563.52 Added.......................................................31068
563.50--563.52 Appendix A added....................................31069
563.93 (a) and (d)(1) revised; (b)(3) and (7) removed; (b)(4),
(5), (6) and (8) through (13) redesignated as (3) through
(11); (f)(2) amended.......................................34014
563.98 Removed.....................................................59866
563.132 (a)(4) amended.............................................59867
563.180 (d)(2) introductory text revised...........................29566
(d)(2) introductory text corrected.............................32474
563b.3 (f)(1) amended..............................................59867
563e.4 Regulation at 55 FR 26628 confirmed.........................26906
563e.5 Regulation at 55 FR 26628 confirmed; (a)(3) and (c)(3)
revised....................................................26906
563e.6 Regulation at 55 FR 26628 confirmed.........................26906
564 Technical correction.............................................778
Appendix A corrected............................................1229
568 Revised........................................................29566
584.6 Revised......................................................31070
Chapter VI
600.1 Amended (effective date pending)..............................2672
Regulation at 56 FR 2672 eff. 3-4-91............................8910
600.5 (b)(1), (2), (3), and (6) revised (effective date pending)
2672
Regulation at 56 FR 2672 eff. 3-4-91............................8910
601 Authority citation revised......................................2673
601.101 (a) introductory text and (b) amended (effective date
pending)....................................................2673
Regulation at 56 FR 2673 eff. 3-4-91............................8910
601.141 Amended (effective date pending)............................2673
Regulation at 56 FR 2673 eff. 3-4-91............................8910
602 Authority citation revised; sectional authority citations
removed.....................................................2673
602.220 Amended (effective date pending)............................2673
Regulation at 56 FR 2673 eff. 3-4-91............................8910
602.250 (a)(5) amended (effective date pending).....................2673
Regulation at 56 FR 2673 eff. 3-4-91............................8910
(a)(7) revised (effective date pending)........................28476
Regulation at 56 FR 28476 eff. 7-29-91.........................35808
602.260 Amended (effective date pending)...........................28476
Regulation at 56 FR 28476 eff. 7-29-91.........................35808
602.261 (b), (c) and (d) amended (effective date pending)..........28476
Regulation at 56 FR 28476 eff. 7-29-91.........................35808
602.262 Added (effective date pending).............................28476
Regulation at 56 FR 28476 eff. 7-29-91.........................35808
602.265 Removed (effective date pending)...........................28477
Regulation at 56 FR 28477 eff. 7-29-91.........................35808
602.265--602.272 (Subpart C) Added (effective date pending)........28477
Regulation at 56 FR 28477 eff. 7-29-91.........................35808
602.280--602.289 (Subpart C) Redesignated as Subpart D (effective
date pending)..............................................28477
Regulation at 56 FR 28477 eff. 7-29-91.........................35808
603 Authority citation revised......................................2673
603.340 (a) and (b) amended (effective date pending)................2673
Regulation at 56 FR 2673 eff. 3-4-91............................8910

[[Page 614]]

603.345 Amended (effective date pending)...........................28479
Regulation at 56 FR 28479 eff. 7-29-91.........................35808
603.355 Revised (effective date pending)............................2673
Regulation at 56 FR 2673 eff. 3-4-91............................8910
604 Authority citation revised......................................2673
604.420 (i)(1) amended (effective date pending).....................2673
Regulation at 56 FR 2673 eff. 3-4-91............................8910
604.425 (a) amended (effective date pending)........................9611
Regulation at 56 FR 9611 eff. 4-22-91..........................16265
604.435 (e) amended (effective date pending)........................2673
Regulation at 56 FR 2673 eff. 3-4-91............................8910
606.670 (c) amended (effective date pending)........................2674
Regulation at 56 FR 2674 eff. 3-4-91............................8910
611 Sectional authority citations removed...........................3407
611.1122 (b)(1) and (2) removed (effective date pending)............2674
Regulation at 56 FR 2674 eff. 3-4-91............................8910
611.1135 (a) amended (effective date pending).......................2674
Regulation at 56 FR 2674 eff. 3-4-91............................8910
611.1168 (d) introductory text, (2), (3) and (e) introductory text
amended (effective date pending)...........................29420
(d)(3) corrected...............................................42649
Regulation at 56 FR 29420 eff. 9-10-91.........................46111
611.1175 (d) introductory text, (2), (3) and (e) introductory text
amended (effective date pending)...........................29420
(d)(3) corrected...............................................42649
Regulation at 56 FR 29420 eff. 9-10-91.........................46111
611.1182 (d) amended (effective date pending)......................29421
Regulation at 56 FR 29421 eff. 9-10-91.........................46111
611.1200--611.1270 (Subpart P) Added (effective date pending).......3407
Regulation at 56 FR 3407 eff. 3-11-91..........................10169
611.1205 (g) corrected.............................................11589
611.1210 (b)(2) corrected..........................................11589
611.1212 (c) corrected.............................................11589
611.1215 (d) corrected.............................................11589
611.1225 (k), (p), (t)(3)(ii), (u) and (v) corrected...............11589
611.1255 (a) corrected.............................................11589
611.1260 (h) corrected.............................................11589
611.1270 Corrected.................................................11589
612 Authority citation revised...............................2674, 32957
612.2080 Removed (effective date pending)..........................32957
Regulation at 56 FR 32957 eff. 9-23-91.........................48097
612.2090 Removed (effective date pending)..........................32957
Regulation at 56 FR 32957 eff. 9-23-91.........................48097
612.2120 Removed (effective date pending)..........................32957
Regulation at 56 FR 32957 eff. 9-23-91.........................48097
612.2130 (l), (p), and (t) revised (effective date pending).........2674
Regulation at 56 FR 2674 eff. 3-4-91............................8910
(l), (p) and (t) corrected.....................................12298
612.2150 (b)(6) and (c) introductory text amended (effective date
pending)....................................................2674
Regulation at 56 FR 2674 eff. 3-4-91............................8910
612.2160 (a), (b), and (c) amended (effective date pending).........2674
Regulation at 56 FR 2674 eff. 3-4-91............................8910
612.2170 (a) amended (effective date pending).......................2674
Regulation at 56 FR 2674 eff. 3-4-91............................8910
612.2180 (a) and (b) amended (effective date pending)...............2674
Regulation at 56 FR 2674 eff. 3-4-91............................8910
612.2230 (a)(1) amended (effective date pending)....................2674
Regulation at 56 FR 2674 eff. 3-4-91............................8910
613.3045 (b)(2)(ii) amended; (c) redesignated as (e); new (c) and
(d) added (effective date pending).........................65989

[[Page 615]]

614.4233 Introductory text corrected................................5927
614.4310 Removed (effective date pending)...........................2674
Regulation at 56 FR 2674 eff. 3-4-91............................8910
614.4460 (c) amended (effective date pending).......................2674
Regulation at 56 FR 2674 eff. 3-4-91............................8910
614.4640 Revised (effective date pending)...........................2674
Regulation at 56 FR 2674 eff. 3-4-91............................8910
615 Authority citation corrected...................................12298
615.5103 Removed (effective date pending)...........................2674
Regulation at 56 FR 2674 eff. 3-4-91............................8910
615.5120 (a) amended (effective date pending).......................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
615.5135 Transferred to Subpart E (effective date pending)..........2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
615.5150 (c) amended (effective date pending).......................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
615.5151 Revised (effective date pending)...........................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
Corrected......................................................12298
615.5180 Amended (effective date pending)...........................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
Corrected......................................................12298
615.5190 (b) amended (effective date pending).......................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
615.5201 (f) amended (effective date pending).......................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
615.5210 (d)(2)(i) and (ii) amended (effective date pending)........2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
615.5250 (d)(2) amended (effective date pending)....................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
617 Sectional authority citations removed...........................2675
617.7110 (d) amended (effective date pending).......................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
617.7150 (b) amended (effective date pending).......................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
618.8030 (b)(2) and (3)(v) revised (effective date pending)........65990
618.8210 Amended (effective date pending)...........................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
618.8320 (b)(2) revised (effective date pending)....................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
618.8325 (d) removed (effective date pending).......................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
618.8360 Introductory text and (d) through (h) removed; (a)(5)
revised (effective date pending)............................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
(a)(5) corrected...............................................12298
619 Authority citation revised; sectional authority citations
removed.....................................................2675
619.9146 Amended (effective date pending)...........................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
620.1--620.3 (Subpart A) Heading revised...........................29421
Regulation at 56 FR 29421 eff. 9-10-91.........................46111
620.1 (i) removed; (b) through (h) and (j) redesignated as (o),
(e) through (i), (n) and (p); introductory text, new (b)
through (d), new (j) through (m) and (q) added; new (g)
and (i) revised (effective date pending)...................29421
(q) correctly designated.......................................42649
Regulation at 56 FR 29421 eff. 9-10-91.........................46111

[[Page 616]]

620.2 (a), (b) and (c) redesignated as 620.4; (a), (b) and (c);
(j) removed; (d) through (i) and (k) redesignated as (a)
through (g); introductory text, (h) and (i) added;
heading, new (a) and new (g) revised; new (b)(3), new (c)
and new (f) amended (effective date pending)...............29421
Regulation at 56 FR 29421 eff. 9-10-91.........................46111
620.3 Redesignated as 620.5 (effective date pending)...............29421
Added (effective date pending).................................29422
Regulations at 56 FR 29421 and 29422 eff. 9-10-91..............46111
620.4--620.5 (Subpart B) Added (effective date pending)............29421
Regulation at 56 FR 29421 eff. 9-10-91.........................46111
620.4 (a), (b) and (c) redesignated from 620.2; (a), (b) and (c)
(effective date pending)...................................29421
Heading added; (b) revised; (c) amended (effective date
pending)...........................................................29422
(b) corrected..................................................42649
Regulations at 56 FR 29421 and 29422 eff. 9-10-91..............46111
620.5 Redesignated from 620.3 (effective date pending).............29421
(c) text designated as (c)(1); (m)(2) removed; (g)(1)(iii),
(2)(vi), (4)(v) and (m)(3) redesignated as (g)(1)(iv), (2)(vii),
(4)(vi) and (m)(2); (a)(3), (9), (c) heading, (d), (e)(1), (2),
(f), (g) introductory text, (1)(i), (2)(ii), (iii), (4)(ii),
(j)(3)(i), (m)(1), new (g)(1)(iv) heading, (D) and (g)(4)(vi)
revised; (c)(2), (e)(4), new (g)(1)(iii), (iv)(E), (2)(vi),
(3)(ii)(C) and new (4)(v) added; (a)(4), (b) and (g)(2)(v) amended
(effective date pending)...........................................29422
(g)(1)(iv)(E) and (j)(3)(i) corrected..........................42649
Regulations at 56 FR 29421 and 29422 eff. 9-10-91..............46111
620.10--620.11 (Subpart B) Redesignated as Subpart C (effective
date pending)..............................................29421
Regulation at 56 FR 29421 eff. 9-10-91.........................46111
620.10 Revised (effective date pending)............................29424
Regulation at 56 FR 29424 eff. 9-10-91.........................46111
620.11 (a) and (d)(3) revised; (b)(3) removed; (b)(4) through (9)
redesignated as (b)(3) through (8); (b) introductory text
and (d)(4) added; new (b)(8) and (c) amended (effective
date pending)..............................................29424
Regulation at 56 FR 29424 eff. 9-10-91.........................46111
620.20--620.22 (Subpart C) Redesignated as Subpart D (effective
date pending)..............................................29421
Regulation at 56 FR 29421 eff. 9-10-91.........................46111
620.20 Heading revised; (c) amended; (d) through (h) removed
(effective date pending)...................................29425
Regulation at 56 FR 29425 eff. 9-10-91.........................46111
620.21 (c)(4) and (d)(5) amended (effective date pending)..........29425
(c)(4) corrected...............................................42649
Regulation at 56 FR 29425 eff. 9-10-91.........................46111
620.22 Removed (effective date pending)............................29425
Regulation at 56 FR 29425 eff. 9-10-91.........................46111
620.30--620.32 (Subpart D) Redesignated as Subpart E (effective
date pending)..............................................29421
Regulation at 56 FR 29421 eff. 9-10-91.........................46111
620.32 Removed (effective date pending)............................29425
Regulation at 56 FR 29425 eff. 9-10-91.........................46111
620.40 (Subpart E) Redesignated as Subpart F (effective date
pending)...................................................29421
Regulation at 56 FR 29421 eff. 9-10-91.........................46111
621.1 Amended (effective date pending)..............................2675
Regulation at 56 FR 2675 eff. 3-4-91............................8910
621.2 (a)(11) introductory text and (12) amended (effective date
pending)....................................................2676
Regulation at 56 FR 2676 eff. 3-4-91............................8910

[[Page 617]]

(a)(8) introductory text amended (effective date pending)......29425
Regulation at 56 FR 29425 eff. 9-10-91.........................46111
621.10 (c) amended (effective date pending).........................2676
Regulation at 56 FR 2676 eff. 3-4-91............................8910
Chapter VII
701.21 (c)(7) revised..............................................37831
(h) revised....................................................48425
701.23 (b)(3) revised..............................................15036
(b)(2) revised.................................................35811
(b)(2) effective date corrected................................37276
703 Revised........................................................56003
703.5 (e) revised; eff. 3-1-92.....................................56005
705.7 (d) revised..................................................67155
709 Added..........................................................56925
722 Appendix A corrected............................................1229
741 Authority citation revised.....................................35811
741.3 Revised......................................................35811
Effective date corrected.......................................37276
741.4 Revised......................................................35811
Effective date corrected.......................................37276
(a)(3) corrected...............................................44129
747 Revised........................................................37767
Chapter IX
900 Added..........................................................67155
922 Added..........................................................55218
Technical correction....................................56691, 58964
931 Authority citation revised.....................................55219
Technical correction....................................56691, 58964
931.14 Revised.....................................................55219
931.15 Revised.....................................................55219
931.16 Revised.....................................................55219
931.17 Revised.....................................................55219
931.18 Revised.....................................................55219
931.19 Revised.....................................................55219
931.20 Revised.....................................................55219
931.21 Revised.....................................................55219
931.23 Revised.....................................................55219
931.26 Added.......................................................55219
931.30 Added.......................................................55220
931.32 Added.......................................................55220
931.34 Added.......................................................55220
931.36 Added.......................................................55220
931.38 Added.......................................................55220
931.40 Added.......................................................55220
932 Authority citation revised.....................................55220
Technical correction....................................56691, 58964
932.18 Revised.....................................................55220
OMB number.....................................................56929
OMB number corrected...........................................58964
932.19 Revised.....................................................55221
932.20 Introductory text revised; table amended....................55221
932.21 Revised.....................................................55222
OMB number.....................................................56929
OMB number corrected...........................................58964
932.22 Revised.....................................................55222
932.23 Added.......................................................55222
OMB number.....................................................56929
OMB number corrected...........................................58964
936 Added..........................................................58647
960 (Subchapter E) Revised..........................................8694
Chapter XIV
1410 Added..........................................................3201
1410.2 (g)(1)(iii) correctly designated............................10302
1410.3 (c)(2) corrected............................................13211
1410.4 (a) corrected...............................................10302
1410.6 (a)(2) revised..............................................57233
Chapter XV
1507 Added.........................................................43998
1510 Authority citation revised....................................57482
1510.10 (b) through (e) revised....................................57483
1510.12 (a) revised................................................57483
Chapter XVI
1608 Appendix A corrected...........................................1229
1609.2 (h)(1) Regulation at 55 FR 35568 suspended 3-23-91 to 9-30-
91; new (h)(1) added; effective to 9-30-91.................25353
1609.7 (a)(3) Regulation at 55 FR 35568 suspended 3-23-91 to 9-30-
91; new (a)(3) added; effective to 9-30-91.................25353
1613 Added..........................................................5649
1617 Added; interim................................................40488
1618 Added; interim................................................30837
1680 Added; interim................................................34015
Revised........................................................52160

1992

12 CFR
57 FR
Page
Chapter I
3 Authority citation revised................................40307, 44084
Appendix A amended...............................40307, 44084, 44085
4 Authority citation revised.......................................32416
4.13 Revised.......................................................32416
4.15 (a) introductory text, (1) and (b) revised....................32416
4.16 (a) and (b)(7) revised........................................32417
4.17 Revised.......................................................32417
(a), (h)(2) introductory text, (ii) heading, and (viii)(B)
corrected..........................................................48450

[[Page 618]]

4.18 (d) added.....................................................32419
5 Authority citation revised.......................................58973
5.33 (b)(6)(ii) revised............................................46083
(b)(2)(iii), (iv), (5)(i), (iii), (6)(ii) and (7) amended;
(a), (b)(1), (c) and (f) revised; (b)(8) and (h) added; interim....49642
5.49 Removed.......................................................58973
5.50 (h)(1)(i), (ii), (2) and (3) correctly added; CFR correction
1641
6 Added............................................................44891
8.2 (a) revised....................................................22416
11 Revised.........................................................46084
Regulation at 57 FR 46084 corrected............................54499
16.2 (g) revised...................................................46084
16.4 (b) and (f) revised...........................................46084
16.6 (b) revised...................................................46084
19 Authority citation revised......................................44895
19.220--19.222 (Subpart M) Added...................................44895
19.230--19.231 (Subpart N) Added...................................44896
34 Authority citation revised...............................12202, 62899
Temporary exceptions...........................................54173
34.42 (g) through (k) redesignated as (h) through (l); (g) added
12202
34.43 Heading, (a) introductory text, (1), (2), (4)(iv) and (5)
revised; (a)(6) and (d) added..............................12202
34.44 (b) and (c) redesignated as (c) and (d); (b) added...........12202
34.61--34.62 (Subpart D) Added; eff. 3-19-93.......................62899
Chapter II
201.51 Revised................................................176, 34065
201.52 Revised................................................176, 34065
202 Supplement I amended...........................................12203
Appendix A amended.............................................20399
203.3 (a) and (c)(1) revised; eff. 1-1-93..........................56965
203 Appendix A amended.............................................20400
Amended; eff. 1-1-93....................................56965, 56967
204 Authority citation revised.....................................56443
204.2 (a)(1)(iii), (b)(1)(ii), (e)(6) and (i)(1)(iii)(B) revised;
(b)(3)(iii) amended; (b)(3)(iv) removed; (b)(3)(v)
redesignated as (b)(3)(iv); (u) added......................38427
(a)(1)(vii)(C) amended.........................................40598
204.3 (c)(3) and (h) revised.......................................38417
(a) introductory text amended; (g) revised.....................38427
204.9 (a)(1) revised................................................8060
(a) revised....................................................56443
204.129 Removed....................................................40598
204.133 Added......................................................38427
204.134 Added......................................................38428
204.135 Added......................................................38429
204.136 Added......................................................38429
205 Appendix B added...............................................20400
206 Added..........................................................60106
207 OTC margin stock list......................2997, 15220, 33101, 48939
208 Authority citation revised.........43890, 44885, 60719, 62179, 62899
Temporary exceptions...........................................54173
208.1--208.19 Designated as subpart A; undesignated center heading
removed....................................................44885
208.18 Regulation at 55 FR 27771 compliance date revised...............6
208.30-208.35 (Subpart B) Added....................................44885
208.51--208.52 (Subpart C) Added; eff. 3-19-93.....................62899
208.110 Removed....................................................21593
208.116--208.128 Designated as subpart E; undesignated center
heading removed............................................44888
208 Appendix A amended................................2012, 60719, 62182
Appendix A amended; interim.............................43890, 62179
Appendix C added; eff. 3-19-93.................................62900
210.2 (d) revised; (g) concluding text amended; (n) and (o) added;
eff. 10-14-93..............................................46955
210.9 Heading and (a) revised; eff. 10-14-93.......................46955
210.28 (b)(5) added; eff. 10-14-93.................................46956
211.2 (t) revised; interim.........................................12997
211.21 (b)(1) and (2) amended; (b)(3) through (b)(8) added;
interim....................................................12997
211.22 Redesignated as 211.23; new 211.22 added; interim...........12998
211.23 Redesignated as 211.24; new 211.23 redesignated from
211.22; (a) removed; (b) through (e) redesignated as (a)
through (d); interim.......................................12998
211.24 Redesignated from 211.23; (a) removed; (b) through (i)
redesignated as (a) through (h); interim...................12998
211.25 Added; interim..............................................12999
211.26 Added; interim..............................................13000
211.27 Added; interim..............................................13001
211.28 Added; interim..............................................13001
211.29 Added; interim..............................................13001

[[Page 619]]

211.30 Heading added; interim......................................13001
213 Appendix D amended.............................................20400
215 Authority citation revised.......................21205, 22423, 60979
215.1 (a) revised..................................................21205
Regulation at 57 FR 21205 republished..........................22424
215.2 (e) through (l) redesignated as (g) through (n); new (e) and
(f) added; (a), (c), (d), new (h), (i), (l) and (m)
revised....................................................21205
Regulation at 57 FR 21205 republished..........................22424
(l) revised....................................................60979
215.3 (a)(4), (8), (b)(2) and (5) revised..........................21206
Regulation at 57 FR 21206 republished..........................22425
215.4 (c) footnote 3 removed; (d) footnote 4 redesignated as
footnote 3.................................................21205
(a)(1), (b)(1) and (c) revised; (b)(2), (3) and (d)
redesignated as (b)(3), (4) and (e); new (b)(2) and new (d) added
21206
Regulations at 57 FR 21205 and 21206 republished........22424, 22425
215.5 (a) footnote 5 redesignated as footnote 4....................21205
(a) footnote 4 and (d) revised.................................21206
Regulations at 57 FR 21205 and 21206 republished........22424, 22425
215.6 Redesignated as 215.7; new 215.6 added.......................21207
Regulation at 57 FR 21207 republished..........................22426
215.7 Redesignated as 215.8; new 215.7 redesignated from 215.6.....21207
Regulation at 57 FR 21207 republished..........................22426
215.8 Footnote 6 redesignated as footnote 5........................21205
Redesignated as 215.9; new 215.8 redesignated from 215.7.......21207
Regulations at 57 FR 21205 and 21207 republished........22424, 22426
215.9 Footnote 7 redesignated as footnote 6........................21205
Redesignated as 215.10; new 215.9 redesignated from 215.8......21207
Regulations at 57 FR 21205 and 21207 republished........22424, 22426
215.10 (a) footnote 8 and (b) footnote 9 redesignated as (a)
footnote 7 and (b) footnote 8..............................21205
Redesignated as 215.11; new 215.10 redesignated from 215.9.....21207
Regulations at 57 FR 21205 and 21207 republished........22424, 22426
215.11 Redesignated as 215.13 and revised; new 215.11 redesignated
from 215.10................................................21207
Regulation at 57 FR 21207 republished..........................22426
215.12 Added.......................................................21207
Regulation at 57 FR 21207 republished..........................22426
215.13 Redesignated from 215.11 and revised........................21207
Regulation at 57 FR 21207 republished..........................22426
217 Heading and authority citation revised.........................43336
217.1 (a) and (b) revised; eff. 3-21-93............................43336
217.4 Removed; eff. 3-21-93........................................43336
217.6 Removed; eff. 3-21-93........................................43336
217.101 Redesignated from 217.302; eff. 3-21-93....................43336
217.201 Removed; eff. 3-21-93......................................43336
217.301 Removed; eff. 3-21-93......................................43336
217.302 Redesignated as 217.101; eff. 3-21-93......................43336
217.601 Removed; eff. 3-21-93......................................43336
217.602 Removed; eff. 3-21-93......................................43336
217.603 Removed; eff. 3-21-93......................................43336
220 OTC margin stock list......................2997, 15220, 33101, 48939
221 OTC margin stock list......................2997, 15220, 33101, 48939
224 OTC margin stock list......................2997, 15220, 33101, 48939
225 Authority citation revised.........21207, 22426, 43890, 60720, 62180
Temporary exceptions...........................................54173
225.2 (g) through (o) redesignated as (h) through (p); new (g)
added......................................................41387
225.4 (f) added....................................................21207
Regulation at 57 FR 21207 republished..........................22426
225.11 (f) added; interim..........................................13001
225.12 (f) added; interim..........................................13001
(d) introductory text, (1) and (2) redesignated as (d)(1)
introductory text, (i) and (ii); (d)(2) added......................28778
225.13 (a) introductory text and (b)(2) revised; (b)(4) and (5)
added; interim.............................................13003
225.14 (b)(3) added................................................41642

[[Page 620]]

225.23 (f)(2) introductory text republished; (f)(2)(i) revised.....28779
225.25 Footnotes 7 through 14 redesignated as footnotes 8 through
15; (b)(5) introductory text, (i), (ii), (iii), (iv)
introductory text, (A) through (D), (v) and (vi)
redesignated as (b)(5)(i) introductory text, (A), (B),
(C), (D) introductory text, (1) through (4), (E) and (F);
new (b) (5) heading and (ii) added; (b)(5)(i) introductory
text, (D) introductory text, (3) and (F) revised...........20961
Footnotes 3 through 15 redesignated as footnotes 4 through 16;
(b)(4)(iv) amended; (b)(4)(v) and (15) revised; (b)(4)(vi) added
41387
225.61--225.67 (Subpart G) Regulation at 55 FR 27771 compliance
date revised...................................................6
225.125 (h) revised................................................30391
225.132 (c)(2) amended.............................................28779
225.144 Removed.....................................................9973
225 Appendix A amended..................2012, 43890, 60720, 62180, 62182
Appendix D amended..............................................2013
226 Temporary exceptions...........................................53545
226.5b (f)(2)(ii) and (iii) revised; (f)(2)(iv) added..............34681
226 Supplement I corrected.......................................81, 749
Appendix I amended.............................................20400
227.11 (c)(1), (2) and (3) revised; (d) added......................20401
229 Authority citation revised..............................36598, 36600
229.1 (a) revised..................................................36598
(b)(3) revised; eff. 1-3-94....................................46972
229.2 (mm) redesignated as (pp); new (mm), (nn) and (oo) added;
eff. 1-3-94................................................46972
229.3 (a)(1) revised; (a) concluding text added....................36600
229.12 (a) revised; (f) amended; (f)(1)(ii) and (2) removed........36601
229.13 (g)(1)(ii) through (v) removed; (g)(2) heading, (i), (ii)
and (3) redesignated as (g)(1)(ii) heading, (A), (B) and
(4); (b), (c) introductory text, (d) introductory text,
(e)(1), (f) introductory text, new (g)(1)(ii)(A), (B),
(h)(1), (3) and (4) amended; (g)(1) introductory text, (i)
and (h)(2) revised; new (g)(2) and (3) added................3279
(b), (c) introductory text, (d) introductory text, (e)(1), (f)
introductory text, (h)(1), (2) and (4) amended; (g)(2)(ii) and
(3)(iii) revised...................................................36598
229.30 (c) introductory text revised; eff. 1-3-94..................46972
229.34 (c) and (d) redesignated as (d) and (e); heading, new (d)
and (e) revised; new (c) added; eff. 1-3-94................46972
229.36 (f) added; eff. 1-3-94......................................46972
229.39 (d) redesignated as (e); new (d) added; eff. 1-3-94.........46973
229 Appendixes C and E amended; interim.............................3280
Appendix E amended......................................36598, 36601
Appendix E amended; eff. 1-3-94..........................46973--
46975
Appendix E corrected; eff. 1-3-94..............................52719
230 Added..........................................................43376
230.6 (a)(3) corrected.............................................46480
230 Appendixes A and B corrected...................................46480
250 Authority citation revised.....................................41644
250.166 Added......................................................40598
250.241 Added......................................................41644
262.3 (b)(1) concluding text redesignated in part as (b)(1)(i)
concluding text and (b)(1)(ii); (b)(1) introductory text
and (i) through (vi) redesignated as (b)(1)(i)
introductory text and (A) through (F); new (b)(1)(i)
concluding text, (ii) and (2) amended......................41642
262.25 (a)(1) amended..............................................41642
263 Authority citation revised..............................13001, 44888
263.50 (b)(7) and (8) amended; (b)(9) and (10) added; interim......13001
(b)(9) and (10) amended; (b)(11) through (14) added............44888

[[Page 621]]

263.201--263.205 (Subpart H) Added.................................44888
264.735-4 Removed..................................................62183
264.735-8 Removed..................................................62183
264 Appendix A removed.............................................62183
265 Authority citation revised..............................13002, 40600
265.6 Introductory text republished; (e) added......................6789
(b)(2) added; interim..........................................13002
265.7 (d)(8) added; interim........................................13002
265.11 (c)(11)(v)(A) removed; (c)(11)(v)(B) and (C) redesignated
as (c)(11)(v)(A) and (B); (c)(11)(vi) revised..............11907
(e)(11) removed; (e)(12) redesignated as (e)(11)...............40600
Chapter III
303 Statement and order............................................59284
303.3 (d) redesignated as (e); new (d) added........................5815
303.7 (f)(5) redesignated as (f)(6); new (f)(5) added...............5815
304 Authority citation revised.....................................23932
304.4 Revised......................................................23932
304.5 (d) amended..................................................23933
304 Appendix A amended.............................................23933
308 Authority citation revised.....................................44897
308.200--308.204 (Subpart Q) Added.................................44897
308.200 Corrected..................................................48426
308.204 (c) corrected..............................................48426
323 Authority citation revised......................................9049
Temporary exceptions...........................................54173
323.2 (g) through (k) redesignated as (h) through (l); new (g)
added.......................................................9049
323.3 (a) introductory text, (1) and (4)(iv) revised; (a)(5)
amended; (a)(6), (7) and (d) added..........................9050
323.4 (b) and (c) redesignated as (c) and (d); new (b) added........9050
325 Authority citation revised...............................7647, 44899
325.1--325.6 Designated as subpart A...............................44899
325.1 Amended.......................................................7647
325.2 (e) through (o) redesignated as (h), (i), (j), (m) through
(p), (r), (t), (v) and (x); new (e), (f), (g), (k), (l),
(q), (s), (u) and (w) added................................44899
325.5 (f)(5) and (8) removed; (f)(6) and (7) redesignated as
(f)(5) and (6); (f)(4), new (f)(5) and (6) amended..........7647
325.1--325.6 (Subpart A) Appendixes A and B redesignated from part
325 Appendixes A and B; headings revised...................44899
325.101--325.105 (Subpart B) Added.................................44900
325.104 (a)(2) corrected...........................................48426
325 Appendixes A and B redesignated as subpart A Appendixes A and
B..........................................................44899
327.3 (d) through (h) added........................................45284
327.7 (a)(1)(ii)(A), (2), (b)(1) and (2) revised...................45286
327.13 (c) revised; (d) added......................................45286
327.23 (d) revised.................................................45286
327.31--327.33 (Subpart D) Revised.................................45286
328.1 (b) amended..................................................45977
328.2 (c) amended..................................................45977
328.4 (c) amended..................................................45977
333.3 (a) amended..................................................53213
335.102 (r)(2) and (nn)(2)(ii)(C) amended..........................58136
335.203 (c) amended................................................58136
335.212 Amended.....................................................4702
Corrected......................................................58136
335.309a Amended...................................................58136
335.312 Amended.....................................................4702
(d) redesignated as (c)........................................58136
335.331 Amended....................................................58136
335.401 (b)(1) introductory text and (2) amended...................58136
335.410 Revised.....................................................4702
335.411 Revised.....................................................4702
335.412 Removed.....................................................4702
335.413 Removed....................................................58136
335.414 Removed....................................................58136
335.420 Added.......................................................4703
335.421 Added.......................................................4703
335.422 Added.......................................................4703
335.627 Amended....................................................58136
335.628 (a)(1), (2), (b)(6) and (c)(1) amended.....................58137
337 Authority citation revised.................7649, 17850, 23941, 28457
337.3 (a) amended...................................................7649
(c) added......................................................17850
Corrected; OMB number..........................................28457
337.6 Revised......................................................23941
360 Transferred to subchapter B; subchapter C heading removed......10415
361 Added..........................................................15004
362 Added..........................................................53234
365 Added; eff. 3-19-93............................................62900
365 Appendix A added; eff. 3-19-93..........................62896, 62900

[[Page 622]]

386 Heading removed................................................10415
Chapter V
500.10--500.17 (Subpart B) Revised.................................14335
500.32 Removed.....................................................14336
506 Authority citation revised..............................45980, 48947
506.1 (b) table amended (OMB numbers)................45980, 48947, 49380
(b) table revised (OMB numbers)................................48947
(b) table amended (OMB numbers); eff. 1-25-93..................61250
516 Added..........................................................14336
543.1 (b) amended..................................................14338
543.2 (a) and (g)(1) introductory text revised; (b), (g)
introductory text and (h)(3) removed; (d), (e) and (f)
amended....................................................14338
543.8 (b) revised..................................................14339
543.9 (a) revised; (c) amended.....................................14339
544.2 (a) and (b) introductory text revised; (c) amended; (d) and
(e) removed................................................14339
544.3 Introductory text revised....................................14339
544.5 (a), (c) and (d) revised.....................................14339
545 Authority citation revised.....................................33437
545.14 (c) revised.................................................33437
545.32 (b)(2) removed; (b)(1) redesignated as (b)(2); (b)(3)
amended; new (b)(1) added; (d) revised; eff. 3-19-93.......62900
545.33 (a) and (b) removed; (c) through (h) redesignated as (a)
through (f); newly designated (b)(1) amended; eff. 3-19-93
62900
(b)(2) introductory text, new (e) and (f) amended; eff. 3-19-
93
545.35 (d) revised.................................................33437
(a) through (c) removed; (d) redesignated as (b); new (a)
added; eff. 3-19-93................................................62901
545.36 (a) and (b) revised; eff. 3-19-93...........................62901
545.37 (c) and (d) removed; (b) revised; eff. 3-19-93..............62901
545.38 (b)(3) revised..............................................33437
545.40 Introductory text and concluding text amended; eff. 3-19-93
62901
545.42 Revised; eff. 3-19-93.......................................62901
545.45 (d)(2)(ii) and (3)(i) amended; eff. 3-19-93.................62901
545.74 (b)(7), (c) introductory text, (3)(vi), (4)(iii) and (e)
revised; (c)(4)(i)(D) amended; (f) and (g) removed.........14340
(d)(2) revised.................................................33437
(a) introductory text, (1), (b)(1), (2), (3), (5), (c)
introductory text and (d)(2) introductory text revised; (a)(5)
added; (b)(6) and (7) removed......................................48949
(c) introductory text and (b)(2) amended.......................62474
545.77 Revised.....................................................14340
545.81 Added.......................................................48947
(c)(1)(ii) and (2)(i) amended..................................62474
545.82 (f) heading, (1) introductory text and (3) revised..........14340
(c)(2) removed; (e) introductory text revised..................33437
545.92 (a), (b), (c), (e), (f) and (h)(1) revised; (h)(3) removed;
(j) added..................................................14341
(i) removed; interim...........................................37084
545.93 (b) and (c) amended.........................................14341
545.94 Removed.....................................................14341
545.95 Revised.....................................................14341
545.96 (b) revised; (d) removed....................................14342
545.111 Removed....................................................40090
545.113 Removed....................................................40090
545.114 Removed....................................................40090
545.115 Removed....................................................40090
546.2 (d)(2) and (e) amended.......................................14342
546.4 (c) and concluding text revised..............................14342
550.2 (a) amended..................................................14342
552.2-1 (b) introductory text, (1) introductory text and (i)
revised....................................................14342
552.2-2 (b) and (c) amended; (d) removed...........................14342
552.4 (a) and (b) introductory text revised; (c) and (d) amended;
(e) and (f) removed........................................14343
552.5 Revised......................................................14343
552.6-3 (a) amended................................................14343
552.10 Revised.....................................................14343
552.13 (i) revised; (m) removed....................................14343
556.5 Revised......................................................12207
558.3 Amended......................................................14335
558.4 Amended......................................................14335
559.3 Amended......................................................14335
561 Authority citation revised.....................................33437
561.55 (b)(2) revised; (c) added...................................33437
562 Added..........................................................40090
563 Authority citation revised.......................33437, 45980, 46088

[[Page 623]]

563.1 Revised......................................................14344
563.4 Removed......................................................14344
563.10 (b)(1) amended; (c) heading and (1) introductory text
revised....................................................14344
(b)(2), (c)(1)(i) and (3)(v) revised; (d) removed; (e)
redesignated as (d)................................................33438
563.22 (c)(2) revised; (e) heading and (1) amended; (d)(1),
(e)(2), (3) and (f) removed................................14344
563.37 (c) revised.................................................14344
563.38 (b) amended.................................................14344
563.41 (e)(2)(ii)(D) revised.......................................14344
563.43 (d) amended; (e) and (f) revised............................14344
Revised........................................................45980
563.45 Amended.....................................................14345
563.46 Removed.....................................................40091
563.74 (e) revised.................................................14345
563.75 Removed.....................................................14345
563.76 Added.......................................................46088
563.80 (e)(2) revised..............................................14345
(e)(1) introductory text amended...............................33438
563.81 Heading, (a), (b), (c), (d) introductory text, (1)(iv),
(2), (h) and (k) revised; (d)(1) introductory text, (iii),
(v), (vi) introductory text, (f) and (g) amended; (e), (i)
and (j) removed............................................14345
563.84 (b)(7) introductory text revised............................33438
563.93 (b)(6)(iii) amended; (d)(3)(iii) revised; (g) removed.......14347
563.94 Removed.....................................................33438
563.96 Amended.....................................................33438
563.97 (a) amended; eff. 3-19-93...................................62901
563.100 Added; eff. 3-19-93........................................62901
563.101 Added; eff. 3-19-93........................................62901
563.90--563.101 (Subpart D) Appendix A added; eff. 3-19-93........62896,
62901
563.131 (a)(1), (b), (d) and (e) amended; (c) introductory text
revised....................................................14347
(b) revised....................................................33438
563.132 (a)(1)(ii), (c)(2) and (4) amended; (c)(5) removed; (c)
heading, (1) introductory text and (3) revised.............14347
563.133 Removed....................................................14347
563.134 (c) and (e)(3) amended.....................................14347
(a)(3), (6) and (b)(1) revised.................................33438
563.160 (f)(3) amended.............................................14335
563.170 (c)(4) amended.............................................14335
(d) revised....................................................40092
563.172 (b) through (d) removed....................................40091
(a) designation and heading removed; revised...................40092
563.173 (c)(2) revised.............................................33438
(f) removed....................................................40091
563.174 (a), (b), (d), (e) and (f) revised.........................40092
563.175 (a)(13)(iii) revised.......................................33438
(a), (e) and (f) revised; (g) removed..........................40093
563.180 (e) added; eff. 1-25-93....................................61251
563.190 Revised....................................................12698
563.231--563.234 (Subpart H) Removed...............................40091
563.233 (c) and (d) revised........................................33438
Removed........................................................40091
563.234 Removed....................................................40091
563b Authority citation revised....................................49380
563b.3 (i)(3)(i) amended...........................................14347
563b.8 (w) removed.................................................14348
563b.21 Revised....................................................49380
563b.23 Revised....................................................49381
563b.24 Revised....................................................49381
563b.26 (b) revised................................................49381
563b.27 (e) amended................................................14335
(l) removed; (m) through (s) redesignated as (l) through (r);
introductory text, (a), (d), (e), new (l), (n) and (o) revised;
new (s) added......................................................49381
563b.28 (c)(2) amended.............................................14335
(a) revised; (c) removed.......................................14348
Redesignated as 563b.29; new 563b.28 added.....................49382
563b.29 (a) amended................................................14348
Redesignated as 563b.30; new 563b.29 redesignated from 563b.28
49382
563b.30 Redesignated as 563b.31; new 563b.30 redesignated from
563b.29....................................................49382
563b.31 Redesignated as 563b.32; new 563b.31 redesignated from
563b.30....................................................49382
563b.32 Redesignated as 563b.33; new 563b.32 redesignated from
563b.31....................................................49382
563b.33 Redesignated from 563b.32..................................49382
563b.34--563b.41 (Subpart D) Removed...............................49382
563b.39 (d) and (m) revised........................................14348
563b.41 (a) revised; (c) removed...................................14348

[[Page 624]]

563c Authority citation revised....................................33439
563c.10--563c.13 (Subpart B) Removed...............................40094
563c.12 Removed....................................................40094
563c.13 Removed....................................................40094
563c.14 Removed....................................................33439
563c.102 Amended...................................................26990
563f.7 Revised.....................................................14348
563g Authority citation revised....................................46088
563g.17 Revised....................................................46088
564 Authority citation revised.....................................12705
Temporary exceptions...........................................54173
564.2 (g) through (k) redesignated as (h) through (l); new (g)
added......................................................12705
564.3 Heading, (a) introductory text, (1) and (2) revised; (d)
added......................................................12705
565 Added..........................................................44903
566.3 Removed......................................................14348
566.4 Revised......................................................14348
566.5 Removed......................................................14348
567 Authority citation revised.....................................33439
567.1 (jj) added...................................................12709
(a)(2)(i) removed; (a)(2)(ii), (iii) and (iv) redesignated as
(a)(2)(i), (ii) and (iii); (a)(3)(iii), (k), (o), (q), (u), (v),
(w)(2)(ii)(C) and (gg) revised; (p) and (ee) amended; (kk) and
(ll) added.........................................................33439
567.2 (b) heading and (2) revised..................................33440
567.3 (a)(1), (2), (d)(1), (3) and (5) amended.....................14335
(d)(2)(i) introductory text amended............................14348
567.4 (a)(1) introductory text, (2) introductory text, (3)(i)
introductory text and (4) amended..........................14335
(a)(1) introductory text and concluding text amended...........33440
567.5 (a)(1) introductory text, (ii), (iv) and (b)(4) amended;
(a)(2)(v)(A) introductory text and (b)(3)(i) revised.......33440
567.6 (a)(1)(iii)(D) added.........................................12709
(a) introductory text, (1)(ii)(N), (O) and (2)(i)(C) revised;
(a)(1)(vi)(C) redesignated as (a)(1)(vi)(C)(1); (a)(1) heading,
(ii)(R), (v)(A), (vi) heading, (A), (2) introductory text, (iv)
heading, (A), (B) and (C) revised; (a)(1)(ii)(S) and new
(vi)(C)(2) amended.................................................33440
567.9 (c)(1) and (3)(i) introductory text revised..................33441
567.10 (a) heading, (2) introductory text and (f) revised; (a)(1)
removed....................................................33441
567.11 (a) revised; (c) amended....................................33441
571 Authority citation revised.....................................33442
571.1 (a)(1) amended...............................................14335
571.2 (b), (d)(1) and (e)(4)(ii) amended...........................14335
571.11 Removed; interim............................................37084
571.12 Removed.....................................................14348
571.14 Removed.....................................................12698
571.16 (c)(10) amended.............................................14335
571.18 Removed.....................................................40094
571.19 Removed.....................................................26990
571.23 Removed.....................................................33442
574.3 (c)(1)(ii) revised...........................................14348
574.4 (f)(1) introductory text revised.............................14349
574.5 (a)(1) revised...............................................14349
574.6 (b) and (d)(2) revised; (j) added............................14349
574.7 (f) removed..................................................14349
574.9 Removed......................................................14349
579.5 Amended......................................................14335
584 Authority citation revised.....................................35458
584.1 (a) and (e) revised..........................................35458
584.2-1 (c)(1) revised.............................................14349
584.2-2 (b) amended................................................14349
584.5 Removed......................................................35458
584.9 (d) revised..................................................14349
584.10 Removed.....................................................35458
Chapter VI
603 Authority citation revised.....................................32421
603.355 Heading revised; existing text designated as (a) and
amended; (b) added.........................................32421
Regulation at 57 FR 32421 eff. 9-16-92.........................42888
611 Authority citation revised..............................26992, 43394

[[Page 625]]

611.400 (b) introductory text, (2), (3), (5) and (c) introductory
text amended; (a) revised; (c)(6) added (effective date
pending)...................................................43394
611.1137 Added (effective date pending)............................26992
Regulation at 57 FR 26992 eff. 7-27-92.........................33104
611.1155 Amended (effective date pending)..........................46487
611.1156 Redesignated as 627.2710 (effective date pending).........46487
611.1157 (a) and (b) amended (effective date pending)..............46487
611.1160 (b) and (g) amended (effective date pending)..............46487
611.1168 (c), (d) and (e) removed; (f) redesignated as (d); new
(c) added (effective date pending).........................46487
611.1170 (b), (g) and (h) amended (effective date pending).........46487
611.1175 (c), (d) and (e) removed; (f) redesignated as (d); new
(c) added (effective date pending).........................46487
611.1180 (a) and (f) amended (effective date pending)..............46487
612 Authority citation revised.....................................43395
612.2000--612.2110 (Subpart A) Removed (effective date pending)....43395
612.2130--612.2270 (Subpart B) Heading removed.....................43395
612.2150 (b)(5) amended (effective date pending)...................43395
613 Authority citation revised.....................................13637
613.3045 Regulation at 56 FR 65989 eff. 2-26-92.....................6553
613.3140 Removed (effective date pending)..........................13637
Removal at 57 FR 13637 eff. 5-27-92............................22157
613.3145 Added (effective date pending)............................13637
Regulation at 57 FR 13637 eff. 5-27-92.........................22157
613.3150 Revised...................................................13638
Regulation at 57 FR 13638 eff. 5-27-92.........................22157
613.3151 Added (effective date pending)............................13638
Regulation at 57 FR 13638 eff. 5-27-92.........................22157
613.3152 Added (effective date pending)............................13638
Regulation at 57 FR 13638 eff. 5-27-92.........................22157
613.3160 (a) revised; (b) introductory text amended (effective
date pending)..............................................13638
Regulation at 57 FR 13638 eff. 5-27-92.........................22157
613.3170 Revised (effective date pending)..........................13638
Regulation at 57 FR 13638 eff. 5-27-92.........................22157
613.3175 Added (effective date pending)............................13639
Regulation at 57 FR 13639 eff. 5-27-92.........................22157
614 Authority citation revised.....................................38246
Authority citation corrected...................................43290
614.4000 (e) and (f) added (effective date pending)................38246
(e)(1) introductory text corrected.............................43290
Regulation at 57 FR 38246 eff. 10-7-92.........................46755
614.4010 (f) and (g) added (effective date pending)................38246
(g)(3) corrected...............................................43290
Regulation at 57 FR 38246 eff. 10-7-92.........................46755
614.4030 (c) added (effective date pending)........................38247
Regulation at 57 FR 38247 eff. 10-7-92.........................46755
614.4040 (d) added (effective date pending)........................38247
Regulation at 57 FR 38247 eff. 10-7-92.........................46755
614.4050 (d) added (effective date pending)........................38247
Regulation at 57 FR 38247 eff. 10-7-92.........................46755
614.4060 Added (effective date pending)............................38247
Regulation at 57 FR 38247 eff. 10-7-92.........................46755
614.4240--614.4267 (Subpart F) Revised (effective date pending)....54695
614.4245 (a) corrected.............................................58860
614.4265 (b) corrected.............................................58860
614.4325--614.4337 (Subpart H) Revised (effective date pending)....38248
Regulation at 57 FR 38248 eff. 10-7-92.........................46755

[[Page 626]]

614.4336 (a)(2)(ii) corrected (effective date pending).............44489
614.4440 (f), (g) and (h) redesignated as (g), (h) and (i); (f)
added (effective date pending).............................54699
(f) corrected..................................................58860
614.4443 (c) revised (effective date pending)......................54699
614.4510 (c) amended (effective date pending)......................38250
Regulation at 57 FR 38250 eff. 10-7-92.........................46755
614.4710 (a)(4) and (b)(2) amended (effective date pending)........38250
Regulation at 57 FR 38250 eff. 10-7-92.........................46755
615 Authority citation revised.....................................46487
615.5210 (d)(2)(i) suspended in part and (d)(2)(ii) and (iii)
suspended (effective date pending).........................38251
Regulation at 57 FR 38251 eff. 10-7-92.........................46755
615.5216 (b) amended (effective date pending)......................46487
618.8030 Regulation at 56 FR 65990 eff. 2-26-92.....................6553
619 Authority citation revised.....................................38250
619.9195 Revised (effective date pending)..........................38250
Regulation at 57 FR 38250 eff. 10-7-92.........................46755
619.9320 Removed (effective date pending)..........................38250
Regulation at 57 FR 38250 eff. 10-7-92.........................46755
625 Added (effective date pending).................................60109
627 Added (effective date pending).................................46482
627.2710 Redesignated from 611.1156; (a) revised (effective date
pending)...................................................46487
Chapter VII
700.1 (i) introductory text republished; (i)(7) and (15) revised;
(i)(16) and (17) redesignated as (i)(17) and (18); new
(i)(16) added..............................................47985
701 Authority citation revised.....................................42488
701.21 (h)(2)(ii)(A), (iii)(B) and (3) introductory text revised
42488
701.33 (b)(2)(i) revised...........................................54502
702.3 (c)(2) revised; eff. 1-21-93.................................60722
703 Interpretive ruling and policy statement.......................22157
703.5 (e) stayed....................................................6553
(e) eff. 12-1-92...............................................53238
704 Revised........................................................22630
704.1 Existing text designated as (a); new (b) added...............28085
704.2 Corrected....................................................28085
704.6 (b)(2)(vi)(A) correctly revised; (d) corrected...............28085
704.7 (b)(3) corrected.............................................28085
704.10 (b)(2) corrected............................................28086
704.11 (i) corrected...............................................28086
704.12 (c)(2) correctly revised; (c)(5) corrected..................28086
704 Appendix A corrected...........................................28086
705 Authority citation revised.....................................20742
705.7 (b)(2) revised...............................................20742
722 Authority citation revised.....................................28998
Temporary exceptions...........................................54173
722.2 (g) through (k) redesignated as (h) through (l); new (g)
added......................................................28998
722.3 (a)(4)(iv) and (5) revised; (a)(6) added.....................28998
741.9 (a)(3) and (b)(3) revised....................................22636
(a)(3) and (b)(3) corrected....................................28086
747.0 (a) and (b) corrected..........................................523
747.1 (a), (b), (c) introductory text and (c)(1) corrected...........523
747.3 (f)(1) and (g) corrected.......................................523
747.9 (d) corrected..................................................522
747.16 Corrected.....................................................523
747.33 (a) corrected.................................................523
747.201 Corrected....................................................523
747.207 Corrected....................................................523
747.208 (a) corrected................................................523
747.301 Introductory text corrected..................................523
747.304 Corrected....................................................523
747.305 Corrected....................................................523
747.306 (a) corrected................................................523
747.401--747.406 (Subpart E) Heading corrected..................522, 523
747.401 Corrected....................................................523
747.405 (c) corrected................................................523
747.606 (c) corrected................................................523
747.703 (a) corrected................................................523
747.803 (b)(1)(iv) corrected.........................................523
747.901--747.905 (Subpart J) Heading corrected.......................523
747.901 Corrected....................................................523
747.902 Corrected....................................................523
747.903 (a)(3) corrected.............................................523
747.904 (b)(1), (2) and (d)(2) corrected........................523, 524

[[Page 627]]

747.905 (a) corrected................................................524
Chapter IX
900.30 Revised......................................................6468
900.53 Correctly designated..........................................749
910 Authority citation revised.....................................62186
910.0 Added; eff. 1-29-93..........................................62186
910.1 Revised; eff. 1-29-93........................................62186
910.6 Revised; eff. 1-29-93........................................62186
932 Authority citation revised......................................6190
932.3 Revised.......................................................6190
932.18 Technical correction...........................................81
932.21 Technical correction...........................................81
932.23 Technical correction...........................................81
932.55 Removed; interim.............................................2834
Removal at 57 FR 2834 confirmed................................11429
932.56 Removed; interim.............................................2834
Removal at 57 FR 2834 confirmed................................11429
932.57 Removed; interim.............................................2834
Removal at 57 FR 2834 confirmed................................11429
935.6 Revised......................................................42889
940.1 (b) revised..................................................42889
941 Added; interim..................................................2834
Regulation at 57 FR 2384 confirmed.............................11429
941.6 (c)(3) amended; (c)(2) revised...............................11429
941.7 (f)(1)(ii) and (2) amended; (d)(1), (4)(i) and (ii) revised
11429
941.8 (a) amended; (d) added.......................................11429
941.10 (b) revised.................................................11429
Chapter XI
1102 Added.........................................................10982
1102.20--1102.39 (Subpart B) Added.................................31650
1102.20 (b) corrected..............................................35004
1102.29 (f)(1)(ii) and (g) corrected...............................35004
1102.100--1102.110 (Subpart C) Added...............................36357
1102.300--1102.304 (Subpart D) Added...............................60724
Chapter XIII
Chapter XIII Removed...............................................60113
1300 Removed.......................................................60113
Chapter XV
Chapter XV Heading revised..........................................4715
1502 Added.........................................................53240
1503 Added.........................................................61252
Chapter XVI
1606 Policy statement..............................................54503
1608 Authority citation revised....................................49388
1608.2 (g) through (k) redesignated as (h) through (l); new (g)
added......................................................49388
1608.3 (a) introductory text, (1), (4)(iv) and (5) revised;
(a)(6), (7) and (d) added..................................49388
1608.4 (b) and (c) redesignated as (c) and (d); new (b) added......49388
1609 Revised; interim..............................................19501
Policy statement...............................................24937
1615 Added; interim................................................32882
Revised........................................................48950
1616 Added; interim................................................43608
1617 Revised; interim..............................................35733
1620 Added.........................................................32395
1680.1--1680.17 Designated as subpart A; interim...................37402
Redesignated as subpart A; heading added.......................56969
1680.21--1680.34 (Subpart B) Added; interim........................37402
Added; final...................................................56969

1993

12 CFR
58 FR
Page
Chapter I
1 Authority citation revised.......................................27443
1.8 (b) removed; (c) redesignated as (b)...........................27443
3 Appendix A amended...............................................16486
5.33 Regulation at 57 FR 49642 comment period extended..............6441
5.51 Revised.......................................................27451
7 Authority citation revised.......................................68470
7.3020 Removed.....................................................46535
7.3025 Removed.....................................................46535
7.7480 Removed.....................................................68470
7.7490 Revised......................................................4073
24 Added...........................................................68470
31 Authority citation revised......................................27454
31.1 Revised.......................................................27454
34 Temporary exceptions............................................42640
34.61--46.62 (Subpart D) Appendix A corrected.......................4460
34.81--34.87 (Subpart E) Added.....................................46535
Chapter II
201 Heading revised................................................50512
Authority citation revised.....................................68512
201.1 Revised; eff. 1-30-94........................................68512
201.2 Revised; eff. 1-30-94........................................68512
201.3 Revised; eff. 1-30-94........................................68513
201.4 Revised; eff. 1-30-94........................................68514
201.5 Revised; eff. 1-30-94........................................68514
201.6 Revised; eff. 1-30-94........................................68514

[[Page 628]]

201.7 Added; eff. 1-30-94..........................................68514
201.8 Added; eff. 1-30-94..........................................68514
201.9 Added; eff. 1-30-94..........................................68514
201.108 Footnote 1 redesignated as Footnote 3; eff. 1-30-94........68515
201.109 Footnotes 1a, 2 and 3 redesignated as Footnotes 4, 5 and
6; eff. 1-30-94............................................68515
202 Heading revised................................................50512
Technical correction...........................................68735
202.1 (b) amended..................................................65661
202.5a Added.......................................................65661
202.14 (b)(3) revised; (b)(4) and (5) added........................65662
202 Appendix C amended.............................................65662
203 Exemption termination..............................................1
MSA designations.........................................6601, 50513
Heading revised................................................50512
203.5 Revised......................................................13405
203 Appendix A amended.............................................13405
204 Heading revised................................................50512
Authority citation revised.....................................61802
204.9 (a) revised..................................................61802
(a)(1) table corrected.........................................64112
205 Heading revised................................................50512
206 Heading revised................................................50512
207 OTC margin stock list......................6602, 25543, 39640, 54929
Heading revised................................................50512
208 Authority citation revised...............................7979, 47208
Heading revised................................................50512
208.20 Added.......................................................47208
208 Regulation at 57 FR 62179 confirmed............................28492
Appendix C corrected............................................4460
Appendix A amended.......................................7979, 68738
Appendixes A and B amended......................................7980
209 Heading revised................................................50512
210 Heading revised................................................50512
211 Authority citation revised.....................................47209
Heading revised................................................50512
211.2 (t) revised...................................................6358
211.8 Added........................................................47209
211.20 Redesignated from 211.21; (b)(3) through (8) revised;
(b)(9) and (c) added........................................6358
211.21 Redesignated as 211.20; new 211.21 redesignated from 211.22
and revised.................................................6358
211.22 Redesignated as 211.21.......................................6358
Redesignated from 211.23........................................6359
211.23 Redesignated as 211.22; new 211.23 redesignated from
211.24; (a) through (h) redesignated as (b) through (i);
new (a) added...............................................6359
211.24 Redesignated as 211.23; new 211.24 redesignated from 211.25
and revised.................................................6359
(f) added......................................................47209
211.25 Redesignated as 211.24; new 211.25 redesignated from 211.26
and revised.................................................6359
211.26 Redesignated as 211.25; new 211.26 redesignated from 211.27
and revised.................................................6359
211.27 Redesignated as 211.26; new 211.27 redesignated from 211.28
and revised.................................................6359
211.28 Redesignated as 211.27; new 211.28 redesignated from 211.29
and revised.................................................6359
211.29 Redesignated as 211.28.......................................6359
Added...........................................................6362
211.31 (b)(4) amended..............................................46076
211.41 (b) amended.................................................46076
211.42 (a) amended.................................................46076
212 Heading revised................................................50512
213 Heading revised................................................50512
214 Heading revised................................................50512
215 Authority citation revised..............................26508, 61804
Heading revised................................................50512
215.4 (d)(3) added.................................................26508
(d)(2) introductory text amended; interim...............28494, 61804
216 Heading revised................................................50512
217 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.........15076
Heading revised................................................50512
217.1 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.......15076
217.4 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.......15076
217.6 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.......15076
217.101 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076
217.201 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076
217.301 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076
217.302 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076
217.601 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076
217.602 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076
217.603 Regulation at 57 FR 43336 eff. date delayed to 6-21-93.....15076
218 Heading revised................................................50512
219 Heading revised................................................50512

[[Page 629]]

220 OTC margin stock list......................6602, 25543, 39640, 54929
Heading revised................................................50512
221 OTC margin stock list......................6602, 25543, 39640, 54929
Heading revised................................................50512
224 OTC margin stock list......................6602, 25543, 39640, 54929
Heading revised................................................50512
225 Authority citation revised.........................4074, 7980, 47209
Temporary exceptions...........................................42640
Heading revised................................................50512
225.2 (k) revised....................................................473
(k) and (l) revised.............................................4074
225.4 (g) added....................................................47209
225.11 (f) revised..................................................6362
225.12 (f) revised..................................................6362
225.13 (a) and (b)(2) revised........................................474
225.31 (d)(2)(ii) revised............................................474
225.63 (a) amended.................................................15077
225 Appendix B amended...............................................474
Appendix A amended.......................................7980, 68739
Appendixes A and D amended......................................7981
Regulation at 57 FR 62180 confirmed............................28492
226 Authority citation revised.....................................17084
Heading revised................................................50512
226.15 (e) revised.................................................40583
226.16 Footnotes 36a and 36b redesignated as Footnotes 36b and 36c
40583
226.23 (e) revised.................................................40583
226 Supplement I amended....................................17084, 17085
227 Heading revised................................................50512
228 Heading revised................................................50512
229 Heading revised................................................50512
229.2 (cc) amended.....................................................2
229 Appendixes A, B-2 and E amended....................................2
Appendix E amended.................................................3
230.2 (a) amended..................................................15081
230.4 (c)(1) amended...............................................15081
230.5 (a)(2)(ii) revised...........................................15081
230.8 (e) revised..................................................15081
230 Appendix A amended.............................................15082
245 Heading revised................................................50512
262 Authority citation revised.....................................47986
262.3 (b)(1)(i)(D) removed; (b)(1)(i)(E) and (F) redesignated as
(b)(1)(i)(D) and (E); (b)(2) amended; (b)(3) added; (j)
introductory text revised..................................47986
263 Authority citation revised......................................6363
263.51 (c) revised..................................................6363
264b Authority citation revised....................................57730
264b.3 (c) and (d) correctly revised; CFR correction...............38702
(a) amended....................................................57730
265 Authority citation revised.....................................26509
265.5 (c)(3) added.................................................26509
265.6 (b)(2) revised; (f) added.....................................6363
(c)(5) removed.................................................26509
(g) added......................................................53394
265.7 (d)(8) revised................................................6363
(c)(5) removed; (c)(6) redesignated as (c)(5)..................26509
265.9 (c)(4) amended; (c)(5) added.................................65540
265.11 (d)(11) added................................................6363
268 Revised; interim................................................9518
Chapter III
303 Authority citation revised......................................8216
Heading revised.................................................8216
303.2 (a) amended...................................................8216
303.3 (a) amended...................................................8216
303.5 Heading revised; (e) added....................................8217
303.7 (f) heading revised; (f)(1)(iii) amended; (f)(1)(ix) added
8217
303.8 (i) added.....................................................8217
303.9 (h) and (m)(5) revised........................................8218
303.10 (c)(5) and (6) revised; (c)(7) added.........................8219
303.13 (a)(6), (b)(1) introductory text, (d)(1) introductory text
and (2)(i) amended; (a)(9) revised.........................64458
323 Temporary exceptions...........................................42640
325 Authority citation revised.....................................12151
325.1 Revised.......................................................8219
325.2 (t) and (v) amended...........................................6368
(h)(1) and (t) amended..........................................8219
(q), (s), (u) and (w) amended..................................60103
325.3 (c)(3) revised................................................8219
325.5 (f) revised...................................................6369
(b) amended.....................................................8219
325.1--325.6 (Subpart A) Appendixes A and B amended...........6369, 8219
Appendix A amended.............................................12151
Appendixes A and B redesignated as part 325 Appendixes A and B
60103
325 Appendixes A and B redesignated from subpart A Appendixes A
and B and amended..........................................60103
327.3 (d)(1)(B)(1) corrected........................................3069

[[Page 630]]

(d) through (h) redesignated as (e) through (i); (c), new
(e)(1) introductory text, (1)(i) introductory text, (A), (B)(2)
introductory text, (2)(ii), (e)(1)(ii) heading and introductory
text, (2) and new (g) revised; new (d) added; new (h) amended......34364
(e)(1)(i)(B)(1), (C) and (i) amended...........................34365
327.4 (c)(1) introductory text revised.............................34365
327.5 (a)(1)(i) revised............................................34365
327.7 (a)(1)(ii)(A) corrected.......................................3069
327.13 (d) revised.................................................31159
(c)(2) amended.................................................34365
327.23 (d)(2) amended..............................................34365
329.3 Removed......................................................27922
330 Authority citation revised.....................................29963
330.1 (j) revised..................................................29963
330.2 Revised......................................................29963
330.10 (b) introductory text amended; (a) and (b)(2) revised.......29963
330.12 Revised.....................................................29964
(c)(2)(i)(C) and (e) corrected.................................40688
330.13 Revised.....................................................29964
330.15 Revised.....................................................29965
330.16 Revised.....................................................29965
332 Removed........................................................64460
333 Authority citation revised.....................................64461
333.3 Removed......................................................64461
336 Authority citation revised.....................................39628
336.24--336.28 (Subpart D) Removed; interim........................39628
337.6 (a)(1), (9) and (10) removed; (a)(2) and (3) redesignated as
(a)(1) and (2); new (a)(3) added...........................54935
353 Revised........................................................28774
360 Authority citation revised..............................43070, 67664
Heading revised; eff. 1-21-94..................................67664
360.1 Redesignated as 360.2; new 360.1 added; eff. 1-21-94.........67664
360.2 (f) added....................................................43070
Redesignated as 360.3; new 360.2 redesignated from 360.1; eff.
1-21-94............................................................67664
360.3 Added........................................................43070
Redesignated as 360.4; new 360.3 redesignated from 360.2; eff.
1-21-94............................................................67664
360.4 Redesignated from 360.3; eff. 1-21-94........................67664
362.1 Amended......................................................64483
362.2 Introductory text revised; (a), (b), (c), (d) through (h),
(i), and (j) through (p) redesignated as (e), (f), (g),
(i) through (m), (o) and (r) through (x); new (a) through
(d), (h), (n), (p) and (q) added; new (x) amended..........64483
362.3 (d)(5)(ii) corrected.........................................59787
362.4 Redesignated as 362.5........................................64483
Added..........................................................64484
362.5 Redesignated as 362.6; new 362.5 redesignated from 362.4.....64483
362.6 Redesignated from 362.5 and amended..........................64483
363 Added..........................................................31335
365 Appendix A corrected............................................4460
Chapter V
506 Technical correction...........................................11186
506.1 (b) table amended (OMB number)..................4311, 44114, 45427
509 Technical correction...........................................11186
509.104 (b) and (f) revised; (g) redesignated as (i); new (g) and
(h) added...................................................4311
516 Authority citation revised......................................4312
Technical correction...........................................11186
516.1 (c) introductory text amended.................................4312
516.2 (d)(1) amended...............................................44114
517 Added..........................................................33324
528 Authority citation revised......................................4312
Technical correction...........................................11186
528.1 (d) through (g) removed.......................................4312
528.6 Revised.......................................................4312
541 Authority citation revised......................................4312
Technical correction...........................................11186
541.9 Removed.......................................................4312
541.12 Removed......................................................4312
541.24 Removed......................................................4312
543 Authority citation revised......................................4312
Technical correction...........................................11186
543.1 (a) amended...................................................4312
545 Technical correction...........................................11186
545.12 (b) revised..................................................4312
545.21 Removed......................................................4312
545.34 (b) and (c) amended..........................................4312
545.36 (d) amended..................................................4312
545.41 (a) revised..................................................4312
545.75 (b)(5) removed...............................................4312
545.79 Removed......................................................4312
545.93 Removed......................................................4312
545.123 Removed.....................................................4312
552 Authority citation revised......................................4312
Technical correction...........................................11186
552.6-1 (b) amended.................................................4312

[[Page 631]]

552.7 Removed.......................................................4312
552.8 (b) removed...................................................4312
556 Authority citation revised......................................4312
Technical correction...........................................11186
556.7 Removed.......................................................4312
558 Revised.........................................................4312
Technical correction...........................................11186
559 Removed.........................................................4313
Technical correction...........................................11186
561 Authority citation revised......................................4313
Technical correction...........................................11186
561.5 Removed.......................................................4313
561.16 (b) through (e) and (g) removed; (f) redesignated as (b).....4313
561.17 Removed......................................................4313
561.22 Removed......................................................4313
561.46 Removed......................................................4313
563 Technical correction...........................................11186
563.7 (d) removed; (e) redesignated as (d)..........................4313
563.24 Removed......................................................4313
563.27 (a), (b) designation, heading, (1) designation and (2)
removed.....................................................4313
563.29 Removed......................................................4313
563.32 Removed......................................................4313
563.33 (b) removed..................................................4313
563.34 Removed......................................................4313
563.45 Removed......................................................4313
563.48 (e) amended..................................................4313
563.49 Added; eff. 4-19-93 through 4-19-95.........................14513
563.50 (a), (b), (d), (e), and (g)(2) introductory text revised....15084
563.51 (f)(1)(vi) redesignated as (f)(1)(vii); new (f)(1)(vi) and
new (f)(1)(vii)(G) added; new (f)(1)(vii)(E) amended; (e),
(f)(1)(vii) introductory text and new (f)(1)(vii)(F)
revised....................................................15084
563.50--563.52 Appendix A Removed..................................15085
563.90 Removed......................................................4313
563.93 (b)(6)(i) and (d)(3)(ii) amended.............................4313
563.99 (d) removed..................................................4314
563.90--563.101 (Subpart D) Appendix A corrected....................4460
563.131 Removed.....................................................4314
563.132 (a)(1)(ii) revised..........................................4314
563.170 (c)(10) added; interim.....................................28348
563.176 (b) removed; (c) through (f) redesignated as (b) through
(e)........................................................45813
563.192 Removed.....................................................4314
563b Technical correction..........................................11186
563b.3 (i)(4)(vi) added.............................................4314
563e Authority citation revised.....................................4314
Technical correction...........................................11186
563e.6 Amended......................................................4314
564 Temporary exceptions...........................................42640
567 Authority citation revised......................................4314
Technical correction...........................................11186
567.1 (i)(2) amended...............................................15086
567.2 (a)(1)(i) revised............................................45813
567.5 (c)(4) added.................................................45813
567.6 Heading revised; (a)(1)(iv)(Q) amended; (a)(1)(iv)(R) and
(S) added; (a)(1)(v) removed.................................476
(a)(1)(iv)(S) amended; (a)(1)(iv)(T) added.....................15086
(a)(1)(iv)(O) removed; (a)(1)(ii)(H), (iii)(C) and (iv)(N)
revised; eff. 7-1-94...............................................45813
567.7 Added........................................................45813
567.20 Removed......................................................4314
571 Authority citation revised......................................4314
Technical correction...........................................11186
571.1 Removed.......................................................4314
571.3 Removed.......................................................4314
571.10 Removed......................................................4314
571.16 Removed......................................................4314
571.17 Removed......................................................4314
571.25 Removed......................................................4314
571.26 Removed......................................................4314
574 Authority citation revised.....................................45427
574.9 Added........................................................45427
(a)(5)(i)(B) corrected.........................................52140
575 Added..........................................................44114
579--580 (Subchapter E) Removed.....................................4314
579 Technical correction...........................................11186
580 Technical correction...........................................11186
Chapter VI
601 Revised (effective date pending)................................5919
Regulation at 58 FR 5919 eff. 3-3-93...........................12333
607 Added (effective date pending).................................10942
Regulation at 58 FR 10942 eff. 3-25-93.........................16104
611.400 Regulation at 57 FR 43393 eff. 1-29-93......................6604
611.515 (b)(6)(ii)(E) amended (effective date pending).............48790
Regulation at 58 FR 48790 eff. 12-31-93........................67665

[[Page 632]]

611.1122 (e)(6)(iii) amended; (e)(9) revised (effective date
pending)...................................................48790
Regulation at 58 FR 48790 eff. 12-31-93........................67665
611.1130 (b)(4)(iii) amended (effective date pending)..............48790
Regulation at 58 FR 48790 eff. 12-31-93........................67665
611.1155 Regulation at 57 FR 46487 eff. 2-23-93....................10945
611.1156 Regulation at 57 FR 46487 eff. 2-23-93....................10945
611.1157 Regulation at 57 FR 46487 eff. 2-23-93....................10945
611.1160 Regulation at 57 FR 46487 eff. 2-23-93....................10945
611.1168 Regulation at 57 FR 46487 eff. 2-23-93....................10945
611.1170 Regulation at 57 FR 46487 eff. 2-23-93....................10945
611.1175 Regulation at 57 FR 46487 eff. 2-23-93....................10945
611.1180 Regulation at 57 FR 46487 eff. 2-23-93....................10945
611.1182 (c) amended (effective date pending)......................48790
Regulation at 58 FR 48790 eff. 12-31-93........................67665
611.1197 (b)(6)(ii)(E) amended (effective date pending)............48790
Regulation at 58 FR 48790 eff. 12-31-93........................67665
611.1225 (t)(2) amended (effective date pending)...................48790
Regulation at 58 FR 48790 eff. 12-31-93........................67665
611.1240 (c) amended (effective date pending)......................48790
Regulation at 58 FR 48790 eff. 12-31-93........................67665
612.2000--612.2110 (Subpart A) Regulation at 57 FR 43394 eff. 1-
29-93.......................................................6605
612.2130--612.2270 (Subpart B) Regulation at 57 FR 43394 eff. 1-
29-93.......................................................6605
612.2150 Regulation at 57 FR 43395 eff. 1-29-93.....................6605
613 Authority citation revised.....................................48790
613.3045 (c)(3)(i) amended (effective date pending)................48790
Regulation at 58 FR 48790 eff. 12-31-93........................67665
614.4130 (a) amended (effective date pending)......................48791
Regulation at 58 FR 48791 eff. 12-31-93........................67665
614.4240--614.4267 (Subpart F) Regulation at 57 FR 54695 eff. 3-1-
93.........................................................11792
614.4250 (a)(1) amended (effective date pending)...................11372
614.4255 (a) revised; (b), (c) and (d) redesignated as (c), (d)
and (e); new (b) added; new (c) amended (effective date
pending)...................................................11372
614.4325 (g) removed; (h) redesignated as (g) (effective date
pending)...................................................40321
Regulation at 58 FR 40321 eff. 1-1-94..........................67665
614.4350--614.4360 (Subpart J) Revised (effective date pending)....40321
Regulation at 58 FR 40321 eff. 1-1-94..........................67665
614.4440 Regulation at 57 FR 54699 eff. 3-1-93.....................11792
614.4443 Regulation at 57 FR 54699 eff. 3-1-93.....................11792
614.4470 (c) amended (effective date pending)......................40324
Regulation at 58 FR 40324 eff. 1-1-94..........................67665
614.4512 (c)(2) and (e)(1) amended (effective date pending)........48791
Regulation at 58 FR 48791 eff. 12-31-93........................67665
614.4514 (d) amended (effective date pending)......................48791
Regulation at 58 FR 48791 eff. 12-31-93........................67665
614.4516 (b)(2) amended (effective date pending)...................48791
(a) introductory text revised (effective date pending).........62514
Regulation at 58 FR 48791 eff. 12-31-93........................67665
614.4517 (a)(5) amended (effective date pending)...................48791
Regulation at 58 FR 48791 eff. 12-31-93........................67665
614.4520 (a) amended (effective date pending)......................48791
Regulation at 58 FR 48791 eff. 12-31-93........................67665
614.4522 (a)(1) heading revised; (b), (c) introductory text, (3),
(4), (d) introductory text and (e) amended (effective date
pending)...................................................48791

[[Page 633]]

Regulation at 58 FR 48791 eff. 12-31-93........................67665
614.4710 Introductory text, (a)(2), (3) and (b)(1) amended
(effective date pending)...................................40324
Regulation at 58 FR 40324 eff. 1-1-94..........................67665
615 Authority citation revised.....................................63055
615.5131 Added (effective date pending)............................63055
615.5132 Redesignated from 615.5135(a) and revised (effective date
pending)...................................................63056
615.5133 Redesignated from 615.5135(b) and revised (effective date
pending)...................................................63056
615.5134 Added (effective date pending)............................63056
615.5135--615.5160 (Subpart E) Heading revised (effective date
pending)...................................................63055
615.5135 (a) and (b) redesignated as 615.5132 and 615.5133; new
615.5135 added (effective date pending)....................63056
615.5136 Added (effective date pending)............................63057
615.5140 Heading and (a) revised; (b) redesignated as (d); new (b)
and (c) added (effective date pending).....................63057
615.5141 Removed (effective date pending)..........................63055
Redesignated from 615.5180 (effective date pending)............63056
Revised; (effective date pending)..............................63058
615.5142 Removed (effective date pending)..........................63055
Added (effective date pending).................................63058
615.5150 Redesignated as 615.5170 (effective date pending).........63056
615.5151 Redesignated as 615.5171 (effective date pending).........63056
615.5160 Redesignated as 615.5172 (effective date pending).........63056
615.5170--615.5172 (Subpart F) Heading revised (effective date
pending)...................................................63058
615.5170 Redesignated from 615.5150 (effective date pending).......63056
615.5171 Redesignated from 615.5151 (effective date pending).......63056
615.5172 Redesignated from 615.5160 (effective date pending).......63056
615.5173 Added (effective date pending)............................63058
615.5174 Added (effective date pending)............................63058
615.5180 Redesignated as 615.5141 (effective date pending).........63056
615.5216 Regulation at 57 FR 46487 eff. 2-23-93....................10945
618 Authority citation revised.....................................10944
618.8230 Removed (effective date pending)..........................10944
Regulation at 58 FR 10944 eff. 3-25-93.........................16105
618.8320 (b)(10) redesignated as (b)(10)(i); (b)(10)(ii) added
(effective date pending)...................................51994
Regulation at 58 FR 51994 eff. 11-8-93.........................59161
620 Authority citation revised.....................................27923
620.1 (i) amended (effective date pending).........................48791
Regulation at 58 FR 48791 eff. 12-31-93........................67665
620.2 (b)(3) revised (effective date pending)......................27923
Regulation at 58 FR 27923 eff. 6-17-93.........................33189
(b)(1) amended (effective date pending)........................48791
Regulation at 58 FR 48791 eff. 12-31-93........................67665
620.5 (f)(1)(i)(F) and (g)(1)(iv)(A) revised; (l) and (m)(1)
amended (effective date pending)...........................48791
Regulation at 58 FR 48791 eff. 12-31-93........................67665
620.10 (e)(3) and concluding text revised (effective date pending)
27923
Regulation at 58 FR 27923 eff. 6-17-93.........................33189
(e)(1) amended (effective date pending)........................48791
Regulation at 58 FR 48791 eff. 12-31-93........................67665
620.21 (f) amended (effective date pending)........................48791
Regulation at 58 FR 48791 eff. 12-31-93........................67665
620.40 (Subpart F) Revised (effective date pending)................48791
Regulation at 58 FR 48791 eff. 12-31-93........................67665

[[Page 634]]

621 Revised (effective date pending)...............................48786
Regulation at 58 FR 48786 eff. 12-31-93........................67665
621.20 (b)(3) corrected (effective date pending)...................52888
625 Regulation at 57 FR 60109 eff. 2-23-93.........................10945
627 Regulation at 57 FR 46482 eff. 2-23-93.........................10945
627.2710 Regulation at 57 FR 46487 eff. 2-23-93....................10945
627.2785 (c) amended (effective date pending)......................48791
Regulation at 58 FR 48791 eff. 12-31-93........................67665
Chapter VII
700.1 (i)(2) through (6), (15) and (16) introductory text revised;
(i)(7) introductory text amended...........................40042
701 Authority citation revised...............................6077, 50445
Authority citation revised...............................6077, 50445
701.12 (b), (c) and (e) revised....................................39433
701.21 (c)(7)(ii)(C) amended........................................6077
(c)(5) amended; (h)(1)(i)(C) and (5) revised...................40043
701.32 (b)(1) and (d) revised......................................21645
701.35 (c) revised; eff. 1-1-95....................................50445
703 Technical correction...........................................16763
703.5 Introductory text, (g) and (j) revised.......................34870
(g)(1)(ii)(A), (2) and (j)(2) corrected........................41419
704.17 Added.......................................................57541
705 Revised........................................................21646
707 Added; eff. 1-1-95.............................................50445
710 Revised........................................................35365
711.2 (h)(1) revised; (l) amended; (o) added.......................39435
711.4 (a)(5), (6) and (c) amended; (c) existing text redesignated
as (c)(1); (a)(7), (8) and (c)(2) added....................39435
(a)(8) and (c)(2)(i) introductory text corrected...............58263
711.5 Amended......................................................39435
722 Temporary exceptions...........................................42640
722.3 (a)(1) and (d) revised.......................................40043
740 Authority citation revised.....................................50461
740.2 Amended......................................................50461
741.1 Revised......................................................57542
741.13 (a) revised..................................................5571
748.1 (c) revised..................................................17492
790 Revised........................................................45431
791.18 (c) revised.................................................17493
796 Removed.........................................................6605
Chapter IX
902 Added..........................................................19195
904 Added..........................................................19198
906 Added..........................................................19202
909 Added..........................................................19205
931 Authority citation revised.....................................43542
Technical correction....................................47181, 53023
931.7 Removed......................................................43542
931.8 Removed......................................................43542
931.9 Removed......................................................43542
931.22 Removed.....................................................43542
932 Authority citation revised...............................3490, 31901
Technical correction....................................47181, 53023
932.2 Removed......................................................43542
932.4 Removed......................................................43542
932.5 Removed......................................................43542
932.6 Removed......................................................43542
932.7 Removed......................................................43542
932.13 (c) amended; interim.........................................3490
(c) amended....................................................31901
932.14 (d) amended; interim.........................................3490
(d) amended....................................................31901
932.18 (f)(1) and (3) introductory text revised; interim............3490
(f)(1) and (3) introductory text revised.......................31901
932.21 (d)(2), (g)(1) and (3) revised; interim......................3490
(d)(2), (g)(1) and (3) revised.................................31901
933 Revised........................................................43542
Technical correction...........................................52808
933.1 (n) corrected................................................53023
933.2 OMB number...................................................50837
933.5 OMB number...................................................50837
933.7 (d) corrected................................................47181
933.9 OMB number...................................................50837
(b)(1) corrected........................................53023, 58231
933.12 OMB number..................................................50837
933.13 OMB number..................................................50837
933.14 (b)(2) corrected............................................47181
933.16 (b) corrected...............................................53023
933.18 OMB number..................................................50837
(c) corrected..................................................53023
935 Revised........................................................29469
Authority citation revised.....................................29477
Technical correction...........................................40190
935.1 Amended; interim.............................................29477
935.20 Revised; interim............................................29477
935.22 Added; interim..............................................29477
940 Removed........................................................29474
Technical correction...........................................40190
943.6 (b)(3) removed; (c) amended..................................59936

[[Page 635]]

960.9 Revised; interim.............................................17972
Chapter XVI
1605 Authority citation revised.....................................8222
1605.1 Removed......................................................8222
1605.2 (f), (g), (l), (n), (s) through (v), (x), (y), (cc) and
(dd) removed................................................8222
1605.3 Removed......................................................8222
1605.4 Removed......................................................8222
1605.5 Removed......................................................8222
1605.6 Removed......................................................8222
1605.7--1605.14 (Subpart B) Heading revised.........................8222
1605.7 Removed......................................................8222
1605.8 Removed......................................................8222
1605.9 Removed......................................................8222
1605.10 Removed.....................................................8222
1605.11 Removed.....................................................8222
1605.12 Removed.....................................................8222
1605.13 Removed.....................................................8222
1605.14 Removed.....................................................8222
1605.15 Removed.....................................................8222
1605.16 (d) Footnote 4 redesignated as Footnote 2...................8222
1605.23 (c) and (g) removed.........................................8222
1605.27 Removed.....................................................8222
1605.28 Removed.....................................................8222
1605.29 Removed.....................................................8222
1605.30--1605.33 (Subpart E) Heading revised........................8222
1605.30 Removed.....................................................8222
1605.31 Removed.....................................................8222
1605.32 Removed.....................................................8222
1605.33 Removed.....................................................8222
1605.34--1605.43 (Subpart F) Heading revised........................8222
1605.34 Removed.....................................................8222
1605.35 Removed.....................................................8222
1605.36 Removed.....................................................8222
1605.37 Removed.....................................................8222
1605.38 Removed.....................................................8222
1605.39 Removed.....................................................8222
1605.40 Removed.....................................................8222
1605.41 Removed.....................................................8222
1605.42 Removed.....................................................8222
1605.43 Removed.....................................................8222
1616 Revised.........................................................476
1625 Added.........................................................58941
1626 Added.........................................................34871
1627 Added; interim................................................18144
Technical correction...........................................21627

1994

12 CFR
59 FR
Page
Chapter I
3 Authority citation revised.........................60555, 64563, 66651
3.1 Revised; eff. 1-17-95..........................................64563
3.10 Revised; eff. 1-17-95.........................................64563
3 Appendix A amended...................10952, 10953, 60555, 66645, 66651
4 Heading revised..................................................46326
Authority citation revised.....................................46326
4.1--4.19 Designated as subpart A; heading added...................46326
4.1a (a)(1) amended................................................46326
4.61--4.74 (Subpart C) Added.......................................46326
5.33 Regulation at 57 FR 49642 confirmed; (b)(8) revised...........22498
(b)(6)(ii) amended; eff. 4-3-95................................54796
5.46 (f)(4) and (g)(1) revised; eff. 4-3-95........................54796
5.47 Revised; eff. 4-3-95..........................................54797
8.6 Revised; interim...............................................59642
16 Revised; eff. 4-3-95............................................54798
16.5 (e) and (f) correctly revised.................................67153
27 Authority citation revised......................................26415
27.3 (a) and (b)(1)(xx) revised....................................26415
27.4 (c)(5) revised................................................26415
27.7 (b), (c) introductory text and (d) revised....................26415
27 Heading to Part 27 Appendixes added; Appendix II revised........26415
Appendix III revised...........................................26417
Appendix IV revised............................................26418
Appendix IV correctly revised..................................31924
34 Statement and order.......................................6531, 40202
Temporary exceptions...........................................62562
34.42 (d) through (l) redesignated as (e) through (m); new (d)
added......................................................29499
34.43 (a) revised; (b), (c) and (d) redesignated as (d), (e) and
(f); new (b) and new (c) added.............................29499
34.44 Revised......................................................29500
34.45 (b) revised..................................................29500
34.41--34.47 (Subpart C) Appendix A removed........................29500
Chapter II
201 Authority citation revised.....................................29538
201.51 Revised.......................................29538, 44313, 60700
201.52 Revised.....................................................29538
(b) revised....................................................60700
203.2 (e)(1) introductory text, (2) and (f) revised................63704
203.4 (a) introductory text amended; (a)(7) revised................63704
203.5 (a) and (e) revised..........................................63704

[[Page 636]]

203 Appendix A amended......................................63704, 63705
204.9 (a) revised..................................................60703
205 Authority citation revised.....................................10683
205.9 (a)(4) revised; interim......................................61788
205.15 Added.......................................................10683
205 Appendix A amended.............................................10683
207 OTC margin stock lists.....................4549, 23124, 37651, 54381
208 Authority citation revised.......................55988, 62992, 63244
208.1--208.19 (Subpart A) Footnotes 11, 12 and 13 redesignated as
9, 10 and 11...............................................55988
208.10 Heading revised; (a), (b) and (c) designation and heading
removed....................................................55988
208.17 (a)(2) amended..............................................55988
208.21 Added; eff. 1-9-95..........................................63711
208.22 Added.......................................................28761
208 Appendix A amended......................................62992, 63244
Appendix A amended; eff. 1-17-95...............................64563
Appendix A amended; eff. 4-1-95................................65924
Appendixes A amended and B revised; eff. 4-1-95................65925
210 Authority citation revised.....................................22965
210.1 Amended......................................................22965
210.2 (g) introductory text revised; (p) added.....................22965
210.3 (a) amended; (f) added.......................................22965
210.5 (a) introductory text and (2) revised; (b)(3) amended; (d)
added......................................................22965
210.6 (b) and (c) amended; (b)(1) and (2) revised..................22966
210.9 (a)(5) revised...............................................22966
210.12 (a) amended; (d) through (g) redesignated as (e) through
(h); new (d) and (i) added; (c) introductory text, (2),
new (e) concluding text and (h) revised....................22966
210.13 Revised.....................................................22966
210.14 Revised.....................................................22967
211 Authority citation revised.....................................55028
211.21 (e) revised.................................................55028
211.29 Added.......................................................55028
215 Authority citation revised......................................8837
215.1--215.13 (Subpart A) Revised...................................8837
215.2 (c)(4) and (d) introductory text corrected...................37930
215.3 (b)(2) corrected.............................................37930
215.4 (e)(1) introductory text and Footnote 3 corrected............37930
215.5 (b) and (c)(4) corrected.....................................37930
215.11 (b)(1) corrected............................................37930
215.21 (a) amended; Footnote 10 removed; Footnotes 11 and 12
redesignated as Footnotes 5 and 6...........................8842
215.22 (c)(1)(ii) amended...........................................8842
220 OTC margin stock lists.....................4549, 23124, 37651, 54381
Authority citation revised.....................................53567
220.1 (b)(1) amended; (b)(3) added.................................53567
220.2 (h) revised; (w) through (aa) redesignated as (x) through
(bb); new (w) added........................................53567
220.4 (c)(3) revised; (d) amended..................................53568
220.8 (b)(4) amended; (b)(1)(i) introductory text, (ii), (3),
(c)(2)(i) and (d) revised..................................53568
220.18 Redesignated as 220.19; new 220.18 added....................53568
220.19 Redesignated from 220.18....................................53568
221 OTC margin stock lists.....................4549, 23124, 37651, 54381
224 OTC margin stock lists.....................4549, 23124, 37651, 54381
225 Statement and order......................................6531, 40202
Authority citation revised.........22968, 29500, 62993, 63244, 65474
Temporary exceptions...........................................62562
225.4 (b)(1) revised; (b)(6) added.................................22968
(d) removed; (e) through (g) redesignated as (d) through (f)
39679
225.7 Added........................................................39679
(b)(3) added; (c)(2) revised; eff.1-23-95......................65474
225.11 Introductory text revised; interim..........................54808
225.14 (i) revised; interim........................................54808
225.15 Added; interim..............................................54808
225.23 Revised; interim............................................54803
225.24 Revised; interim............................................54805
225.62 (d), (e), (f) and (g) through (k) redesignated as (e), (f),
(g) and (i) through (m); new (d) and new (h) added.........29500
225.63 Heading and (a) revised; (b) and (c) redesignated (d) and
(e); new (b) and new (c) added.............................29500
225.64 Revised.....................................................29501
225.65 (b) revised.................................................29501
225.61--225.67 (Subpart G) Appendix A removed......................29501

[[Page 637]]

225.127 (a) through (d) amended; (f), (g) and (h) added; eff. 1-9-
95.........................................................63713
225 Appendix A amended......................................62993, 63244
Appendix A amended; Appendix D revised; eff. 4-1-95............65926
226 Order...........................................................6532
Authority citation revised.....................................40204
226.15 (e)(3) and Footnote 36b added...............................40204
(e)(4) and Footnote 36c added..................................63715
226.16 Footnotes 36b and 36c redesignated as 36c and 36d...........40204
Footnotes 36c and 36d redesignated as Footnotes 36d and 36e....63715
226.23 (e)(3) and Footnote 48(b) added.............................40204
(e)(4) and Footnote 48c added..................................63715
229 Appendixes A and B-2 amended...................................48790
230 Determination..................................................24032
230.2 (a) and (h) amended..........................................52658
230 Supplement I added.............................................40221
Supplement I amended...........................................52658
231 Added...........................................................4784
262.3 (b)(1)(i)(D) revised; interim................................54809
263 Authority citation revised.....................................65245
263.9 (a) and (b) revised; (e) added; eff. 1-18-95.................65245
264b.3 (d) amended.................................................12805
265.11 (c)(11)(v) revised..........................................22968
268 Revised........................................................16098
Chapter III
303 Authority citation revised......................................7198
303.0 Revised......................................................52660
303.2 Heading and (a) introductory text revised.....................4250
(a) introductory text amended; (c) revised.....................43282
303.4 (b)(1) amended...............................................52662
303.5 (e) introductory text amended................................52662
303.6 (a)(3), (f)(1)(ii)(B) heading and (2) revised; (f)(1)(ii)
introductory text, (3) and (4) amended......................4250
Footnote 5 removed; (a)(2), (3), (f)(1)(ii)(A) heading and
revised............................................................43282
(e)(1) concluding text redesignated as (e)(1)(iii); (b), new
(e)(1)(iii), (2) revised; (e)(1)(i), (ii), (i)(3) and (k)(2)
Footnote 7 amended.................................................52662
(f)(1)(i), (3) and (4) revised.................................66655
303.7 Heading, (a)(1)(i), (ii), (iii)(D), (2)(i), (ii), (B),
(b)(1), (2), (5), (8), (9), (c)(1), (3), (d)(1)(i),
(iii)(A), (2)(i), (3), (4)(xii), (e)(1), (2)(i), (f)(1),
(2), (3)(i), (ii), (iii), (4)(i), (5) and (6) amended......52663
303.8 (a)(1), (b)(1), (c), (e), (f)(1), (g)(1), (2), (h), (i)(1)
and (2) amended............................................52663
303.9 Revised......................................................52663
303.10 (a)(2), (b)(2)(i) and (c)(1)(i) amended.....................52667
303.11 (b) revised.................................................52667
303.13 (b)(1), (c)(1)(i), (2), (d)(1), (2)(i), (e), (f)(1), (3),
(4) and (g) amended; (h) revised...........................52667
303.14 (a)(4)(iv) amended; (e) revised.............................52667
303.15 Added; interim...............................................7198
Regulation at 59 FR 7198 confirmed and revised.................61245
304.3 Revised; eff. 4-1-95.........................................67160
304.6 Removed......................................................50828
304.7 Table amended................................................50828
304 Appendix A amended; eff. 4-1-95................................67160
323 Statement and order......................................6531, 40202
Authority citation revised.....................................29501
Temporary exceptions...........................................62562
323.2 (d) through (l) redesignated as (e) through (m); new (d)
added......................................................29501
323.3 Heading and (a) revised; (d) amended; (b), (c) and (d)
redesignated as (d), (e) and (f); new (b) and new (c)
added......................................................29501
323.4 Revised......................................................29502
323.5 (b) revised..................................................29502
323 Appendix A removed.............................................29502
325 Authority citation revised...............................3784, 64564
325.2 (d) revised; eff. 1-27-95....................................66666
325.3 (a) amended; eff. 1-17-95....................................64564
325.1--325.6 (Subpart A) Appendix A amended.........................3784
325 Appendix A amended; eff. 1-17-95...............................64564
Amended.................................................66660, 66661
Amended; eff. 1-27-95..........................................66666
327.2 Revised; eff. 4-1-95.........................................67160
327.3 Redesignated as 327.4; new 327.3 added; eff. 4-1-95..........67161
327.4 (b)(2)(iv)(B) amended; (b)(2)(v) added.......................29715

[[Page 638]]

Redesignated as 327.5; new 327.4 redesignated from 327.3; eff.
4-1-95.............................................................67161
Revised; eff. 4-1-95...........................................67162
327.5 Removed; eff. 4-1-95.........................................67161
Redesignated from 327.4; eff. 4-1-95...........................67161
Revised; eff. 4-1-95...........................................67163
327.6 Heading and (a) revised; eff. 4-1-95.........................67164
327.7 Heading and (a) revised; eff. 4-1-95.........................67164
327.8 (d)(2) revised; (h) added; eff. 4-1-95.......................67164
327.9 Redesignated from 327.13; (a) and (b) removed; (c) and (d)
redesignated as (a) and (b); heading, new (a) and new (b)
heading revised; new (b) amended; new (c) added; eff. 4-1-
95.........................................................67165
327.11--327.13 (Subpart B) Removed; 327.31--327.33 new Subpart B
redesignated from Subpart D; eff. 4-1-95...................67165
327.13 Redesignated as 327.9; eff. 4-1-95..........................67165
327.21--327.24 (Subpart C) Removed; eff. 4-1-95....................67165
327.31--327.33 (Subpart D) Redesignated as Subpart B; eff. 4-1-95
67165
327.31 Amended; eff. 4-1-95........................................67165
327.32 Revised; eff. 4-1-95........................................67165
327.33 Removed; eff. 4-1-95........................................67165
333 Authority citation revised.....................................61246
333.4 Added........................................................61246
335.102 (y) amended; (oo) through (ss) redesignated as (pp)
through (tt); new (oo) added; new (pp)(3) revised; eff. 7-
1-95.......................................................67168
335.201 (a) amended; (d) added; eff. 7-1-95........................67168
335.202 Introductory text revised; (f) added; note removed; eff.
7-1-95.....................................................67168
335.203 Note added; (c) and Instructions 1, 2 and 3 removed; eff.
7-1-95.....................................................67169
335.204 (f) revised; (h) amended; (l) added; eff. 7-1-95...........67169
335.205 (a)(3) and (4) revised; eff. 7-1-95........................67169
335.207 (b)(1) amended; (d) introductory text, (1) through (4) and
concluding text redesignated as (d)(1) introductory text,
(d)(1)(i) through (iv) and (2); (a) and new (d)(2)
revised; (f) added; eff. 7-1-95............................67169
335.210 Revised; eff. 7-1-95.......................................67170
335.212 Amended; eff. 7-1-95.......................................67171
335.213 Note amended; eff. 7-1-95..................................67173
335.214 (a) introductory text, (1)(i)(A), (3), (4), (5), Note 2,
Note 3 and (d) revised; (a) Note 4 added; (a)(1)(i)(C)
(ii)(A), (2), (b) introductory text, (1) and (c) amended;
eff. 7-1-95................................................67173
335.220 (b) and (c) removed; (d) through (h) redesignated as (b)
through (f); new (b) and new (e) revised; eff. 7-1-95......67174
335.221 Removed; eff. 7-1-95.......................................67174
335.222 Added; eff. 7-1-95.........................................67174
335.301 Amended; note added; eff. 7-1-95...........................67174
335.309a Amended; eff. 7-1-95......................................67174
335.310 (c) note added; eff. 7-1-95................................67175
335.312 Amended; eff. 7-1-95.......................................67175
335.321 Amended; eff. 7-1-95.......................................67175
335.330 Amended; eff. 7-1-95.......................................67175
335.331 Amended; eff. 7-1-95.......................................67175
335.622 (g)(1) revised; eff. 7-1-95................................67175
337.3 (a) and (c)(2) revised.......................................66668
338.4 (b) revised..................................................52668
346 Authority citation revised.....................................60706
346.1 (r) added....................................................60706
346.6 (a)(7) correctly removed; CFR correction.....................53568
346.101 (Subpart D) Removed; new 346.101 (Subpart D) added.........60706
Chapter IV
412 Added..........................................................31136
Chapter V
Chapter V Nomenclature change......................................18475
500 Authority citation revised.....................................53570
500.30 (a) amended.................................................53570
503 Authority citation revised.....................................18475
503.1 (e) amended..................................................18475
504 Authority citation revised.....................................18475
504.3 Introductory text amended....................................18475
504.4 Amended......................................................18475
505 Authority citation revised.....................................18475
505.2 Amended......................................................18475

[[Page 639]]

505.4 Amended......................................................18475
506.1 (b) table amended (OMB numbers)..............................44622
(b) table amended (OMB numbers)................................53570
508 Authority citation revised.....................................53570
508.13 (b) amended.................................................53570
515 Authority citation revised.....................................18475
515.2 Amended......................................................18475
515.4 (a) introductory text and (b) amended........................18475
515.5 Amended......................................................18476
544 Authority citation revised.....................................18476
544 Appendix amended...............................................18476
545.32 (b)(2) amended..............................................29502
545.33 (c) introductory text amended...............................53570
545.35 (b) amended.................................................53570
545.74 (b)(2), (c)(5)(v) and (d)(1)(iv) amended....................53570
545.81 (d) heading, (1) introductory text and (2) revised; (d)
introductory text added....................................53570
545.103 (b) amended................................................29502
545.141 (d) removed; (e) revised...................................53571
546 Authority citation revised.....................................44622
546.1 Revised......................................................44622
546.2 Revised......................................................44622
546.3 Revised......................................................44623
546.4 Amended......................................................44623
550 Authority citation revised.....................................60303
550.7 Revised......................................................60303
552.2-6 Revised....................................................44623
552.2-7 Added......................................................44623
552.3 (a) designation removed......................................53571
552.4 (d) amended..................................................18476
552.6 (d)(1) amended...............................................18476
552.6-4 Removed....................................................60303
552.13 (a) through (f), (h)(1), (2) introductory text, (iii),
(iv), (j), (k) and (l) revised; (g) removed................44623
552 Appendix amended...............................................18476
558.1 (a) amended; (b)(6) revised..................................53571
558.2 Revised......................................................53571
561.5 Added........................................................18476
562.3 (b)(2) removed; (b)(3) redesignated as (b)(2); (d) revised
60303
562.4 Added........................................................60304
563 Authority citation revised.....................................53571
563.10 (c)(2), (3) introductory text and (d) amended...............66159
563.22 (c), (d), and (e) redesignated as (d), (e) and (f); (e)
introductory text and (1) removed; new (e)(2), (3), (4),
(f)(1) introductory text, (i) through (xi), (xiv), (xv),
(xvii) and (xviii) redesignated as (e)(1), (2), (3), (f)
introductory text, (1) through (11), (12), (13), (14) and
(15); (a), (b), new (d), new (e)(1), (2), (f)(1), (9),
(14) and (g) revised; new (f)(1)(xii), (xiii) and new
(xvi) removed; new (c), new (e)(4), new (5) and (h) added
44624
(f)(2), (4) and (11) amended; (f)(9), (10), (14) and (15)
revised............................................................66159
563.43 Introductory text revised; (c) and (d) amended; (e) added
53571
563.47 (d) amended.................................................66159
563.74 (c) and (h) amended.........................................66159
563.84 (b)(7)(i) introductory text amended.........................66159
563.93 (f)(1) amended..............................................53571
563.96 Removed.....................................................53571
563.170 (c)(1)(iv) revised.........................................29502
(c)(10)(i)(B) revised..........................................53571
(a)(1) designation and (2) removed.............................60304
563.176 (e) removed................................................53571
563.180 (c) amended................................................66159
563b Authority citation revised....................................61260
563b.2 (a)(14) removed; (a)(15) through (19) and (29) through (40)
redesignated as (a)(14) through (18) and (30) through
(41); new (a)(16) revised; new (a)(19) and (29) added;
interim....................................................22732
Regulation at 59 FR 22732 confirmed............................61260
(a)(19) revised................................................61261
563b.3 (c)(2)(i), (ii), (4)(i) through (iv), (5)(i) and (ii)
redesignated as (c)(2)(ii), (iii), (4)(ii) through (v),
(5)(ii) and (iii); new (c)(2)(i), new (4)(i), new (5)(i)
and (g)(4) added; (c)(6)(i), (iv), (7), (14), (23),
(d)(4), (g) heading, (1)(i), (ii) and (3) revised;
(g)(1)(iii) removed........................................22733

[[Page 640]]

(c)(2)(i), (4)(i) and (5)(i) removed; (c)(2)(ii), (iii),
(4)(ii) through (v), (5)(ii), (iii) and (d)(12) redesignated as
(c)(2)(i), (ii), (4)(i) through (iv), (5)(i), (ii) and (d)(13);
(c)(6)(iv), (23), (g)(3)(i)(B), (D) introductory text, (ii), and
(4)(vii) through (xi) revised; (d)(12), (g)(4)(xii), (xiii) and
(xiv) added........................................................61261
Regulation at 59 FR 22733 confirmed............................61260
563b.4 (b)(1) existing text designated in part as (b)(1)(i) and in
part as (ii); new (b)(1)(i) revised........................61261
(b)(1) amended; (c) revised; interim...........................22734
Regulation at 59 FR 22734 confirmed............................61260
563b.5 (d)(4) and (e)(5) revised; interim..........................22734
Regulation at 59 FR 22734 confirmed............................61260
563b.7 (f)(1)(ii) and (3) revised; (f)(1)(iii) amended; (f)(1)(iv)
added; interim.............................................22734
Regulation at 59 FR 22734 confirmed............................61260
(f)(2) amended.................................................61262
563b.8 (e)(1) and (t)(1) amended; interim..........................22735
Regulation at 59 FR 22735 confirmed............................61260
563b.10 Revised; interim...........................................22735
Regulation at 59 FR 22735 confirmed............................61260
563b.11 Added......................................................61262
563b.100 Amended; interim..........................................22735
Regulation at 59 FR 22735 confirmed............................61260
563b.101 Amended; interim..........................................22735
Regulation at 59 FR 22735 confirmed............................61260
564 Statement and order......................................6531, 40202
Authority citation revised.....................................29502
Temporary exceptions...........................................62562
564.2 (d) through (l) redesignated as (e) through (m); new (d)
added......................................................29502
564.3 (a) revised; (b), (c) and (d) redesignated as (d), (e) and
(f); new (b) and new (c) added.............................29502
564.4 Revised......................................................29503
564.5 (b) revised..................................................29503
564.8 (d) introductory text and (2) amended; (d)(1) removed;
(d)(2) designation removed.................................29503
(d) introductory text amended..................................53571
564 Appendix A removed.............................................29503
567 Authority citation revised......................................4788
567.1 (v) revised..................................................12810
567.3 (b)(3) and (9) revised; eff. 1-17-95.........................64564
567.5 (a)(2)(i) and (ii) revised; (a)(2)(iii) removed...............4788
567.6 (a)(1)(iii)(C) revised; eff. in part 3-18-94 to 9-29-94 and
9-30-94....................................................12810
(a)(1)(iv)(L) revised...........................................4788
(a)(2)(v) revised..............................................66652
567.7 (a) amended..................................................12811
567.9 (c)(1) revised................................................4788
567.12 Added........................................................4788
571.2 Removed......................................................60304
571.5 Removed......................................................44627
574.5 Heading amended; (b) removed; (c) amended and redesignated
as (b).....................................................53571
574.6 (a) revised..................................................28470
574.7 Heading and (c) revised......................................28471
(a)(1) and (b) amended.........................................44627
575 Authority citation revised.....................................61262
575.1 Existing text designated as (a); (a) heading and (b) added
61262
575.7 (e) added; interim...........................................22735
Regulation at 59 FR 22735 confirmed............................61260
(a)(7) redesignated as (a)(8); new (a)(7) added; (d)(2)
revised............................................................61262
575.13 (a)(4) amended; interim.....................................22735
(c)(3)(i) revised..............................................44627
Regulation at 59 FR 22735 confirmed............................61260
(a)(4) revised.................................................61262
590 Authority citation revised.....................................53571
Chapter VI
600 Authority citation revised.....................................21641
600.1 Amended (effective date pending).............................21641
Regulation at 59 FR 21641 eff. 4-26-94.........................27970
600.4 (b) revised; (c) and (d) added (effective date pending)......21641
Regulation at 59 FR 21641 eff. 4-26-94.........................27970

[[Page 641]]

600.5 (a), (b) and (c) redesignated as (b), (d) and (e), new (a)
and new (c) added; new (b) and new (d) revised (effective
date pending)..............................................21642
Regulation at 59 FR 21642 eff. 4-26-94.........................27970
600.10 (c) amended (effective date pending)........................21642
Regulation at 59 FR 21642 eff. 4-26-94.........................27970
604 Authority citation revised.....................................21642
604.440 Amended (effective date pending)...........................21642
Regulation at 59 FR 21642 eff. 4-26-94.........................27970
605 Authority citation revised.....................................21643
605.502 (f) amended (effective date pending).......................21643
Regulation at 59 FR 21643 eff. 4-26-94.........................27970
607.2 (b) introductory text amended................................37403
608 Added (effective date pending).................................13187
Regulation at 59 FR 13187 eff. 5-6-94..........................23615
611 Authority citation revised.....................................37411
611.400 Revised (effective date pending)...........................37411
Regulation at 59 FR 37411 eff. 8-22-94.........................45972
611.1130 (a) amended (effective date pending)......................21643
Regulation at 59 FR 21643 eff. 4-26-94.........................27970
612 Revised (effective date pending)...............................24894
614.4240--614.4267 (Subpart F) Revised; interim (effective date
pending)...................................................46730
614.4266 (e) correctly designated..................................50964
614.4351 (a) revised...............................................37403
614.4443 (c) revised; interim......................................46734
614.4516 Regulation at 58 FR 62514 eff. 3-15-94....................11898
614.4710 (a)(1)(i) amended.........................................37404
615.5060 (a) revised (effective date pending).......................3787
Regulation at 59 FR 3787 eff. 3-18-94..........................12811
615.5131 Regulation at 58 FR 63055 eff. 3-15-94....................11898
(t) amended....................................................37404
615.5132 Regulation at 58 FR 63056 eff. 3-15-94....................11898
615.5133 Regulation at 58 FR 63056 eff. 3-15-94....................11898
615.5134 Regulation at 58 FR 63056 eff. 3-15-94....................11898
615.5135--615.5160 (Subpart E) Regulation at 58 FR 63055 eff. 3-
15-94......................................................11898
615.5135 Regulation at 58 FR 63056 eff. 3-15-94....................11898
615.5136 Regulation at 58 FR 63057 eff. 3-15-94....................11898
615.5140 Regulation at 58 FR 63057 eff. 3-15-94....................11898
(a)(8)(i)(B) and (11)(ii) corrected............................22736
615.5141 Regulations at 58 FR 63055, 63056 and 63058 eff. 3-15-94
11898
615.5142 Regulations at 58 FR 63055 and 63058 eff. 3-15-94.........11898
615.5150 Regulation at 58 FR 63056 eff. 3-15-94....................11898
615.5151 Regulation at 58 FR 63056 eff. 3-15-94....................11898
615.5160 Regulation at 58 FR 63056 eff. 3-15-94....................11898
615.5170--615.5172 (Subpart F) Regulation at 58 FR 63058 eff. 3-
15-94......................................................11898
615.5170 Regulation at 58 FR 63056 eff. 3-15-94....................11898
615.5171 Regulation at 58 FR 63056 eff. 3-15-94....................11898
615.5172 Regulation at 58 FR 63056 eff. 3-15-94....................11898
615.5173 Regulation at 58 FR 63058 eff. 3-15-94....................11898
615.5174 Regulation at 58 FR 63058 eff. 3-15-94....................11898
615.5180 Regulation at 58 FR 63056 eff. 3-15-94....................11898
615.5201 (a) through (l) redesignated as (b) through (g) and (i)
through (n); new (a) and new (h) added; new (j) revised;
new (k) amended............................................37404
615.5210 (d) and (e) redesignated as (e) and (f); new (e)(4)
through (7) redesignated as (e)(6) through (9); (c), new
(f)(1), new (3)(i) and new (ii)(D)(1) amended; new (e)(3)
removed; new (d), (e)(3), (4) and (5) added; new (e)(2)
revised....................................................37404

[[Page 642]]

615.5495 (b) amended (effective date pending)......................21643
Regulation at 59 FR 21643 eff. 4-26-94.........................27970
618.8270 Revised (effective date pending)..........................37411
Regulation at 59 FR 37411 eff. 8-22-95.........................45972
618.8320 (b)(11) added; interim (effective date pending)...........46734
618.8325 (b) amended; interim (effective date pending).............46734
620.1 (j) amended..................................................37406
620.5 (i) revised (effective date pending).........................37412
Regulation at 59 FR 37412 eff. 8-22-95.........................45972
621 Authority citation revised.....................................60888
621.11 Removed; interim............................................60888
630 Added (effective date pending).................................46742
650 Added (effective date pending)..................................9626
Regulation at 59 FR 9626 eff. 9-13-94..........................46913
Chapter VII
701 Authority citation revised.....................................39424
Authority citation corrected...................................52862
701.1 Revised......................................................29075
Amended........................................................36041
701.2 (b) and (c) amended..........................................36041
701.3 Correctly removed; CFR correction............................54517
701.4 Correctly removed; CFR correction............................54517
701.6 (a), (b)(2) and (3) revised..................................33421
701.14 (f) amended.................................................36042
701.21 (c)(7)(ii)(C) revised.......................................39425
701.31 (d)(3) amended..............................................36041
701.32 (b)(2), (3) and (4) redesignated as (b)(4), (5) and (6);
(b)(1) and new (6) revised; new (b)(2) and new (3) added
26102
704.2 Amended; eff. 1-1-96.........................................59360
704.10 (b)(2) amended..............................................47072
704.11 (a)(1) and (2) amended......................................47072
704.12 Revised; eff. 1-1-96........................................59360
704.13 (c) amended.................................................47072
704.16 Amended.....................................................47072
704 Appendix B amended.............................................47072
707 Compliance date extended.......................................39425
707.2 (r) amended..................................................13436
(a) and (q) revised............................................59899
707.6 (b)(3) revised...............................................59899
707.8 (c)(5) revised (OMB number pending)..........................13436
707.9 (b) revised (OMB number pending).............................13436
707 Appendix B amended......................................13436, 13437
Appendix C added...............................................59899
708 Redesignated as 708b...........................................48792
708a Added; interim................................................48792
708b Redesignated from 708.........................................48792
Authority citation revised.....................................67620
708b.102 (d) and (e) amended.......................................67620
708b.105 (b) amended...............................................67620
708b.106 (a)(2)(ii) and (b) amended................................67620
708b.202 (a), (b) and (c) amended..................................67620
708b.204 (a), (b) and (c) amended..................................67620
709.8 (c)(1) amended...............................................36041
709.9 (b) amended..................................................36041
722 Statement and order......................................6531, 40202
Temporary exceptions...........................................62562
741.6 (a) amended..................................................26103
741.11 (b)(1), (c), (d) and (g) revised............................33421
745.202 (a) amended................................................36041
747.306 (b) amended................................................36041
747.307 (a) amended................................................36042
747.609 (d) amended................................................36041
747.616 Amended....................................................36041
790 Authority citation revised.....................................36041
790.2 (b)(6) redesignated as (b)(6)(i) and (ii); (b)(1), (3), new
(6)(i), (8) and (9) amended; (b)(6)(iii), (13), (14) and
(15) added; (d) and (e) removed............................36042
(b)(6)(ii) removed; (b)(6)(iii) redesignated as (b)(6)(ii);
(b)(10) revised; (b)(16) added.....................................47072
791.8 (c) amended..................................................36041
792 Authority citation revised.....................................36041
792.2 (g)(1) amended...............................................36041
(f), (g)(1) and (2) amended....................................36042
792.5 (b)(1)(i), (ii) and (2) amended..............................36042
792.22 (a) amended.................................................36041
792.24 (b)(3) amended..............................................36042
792.26 (a) amended..........................................36041, 36042
792.27 (a) and (c) amended.........................................36041
792.37 (a) amended.................................................36042
792.40 Amended.....................................................36041
792.50 (a) amended.................................................36042
793 Authority citation revised.....................................36041
793.2 (c) amended..................................................36041
794.170 (c) amended................................................36042
Chapter IX
935 Authority citation revised......................................2949
935.1 Amended.......................................................2949

[[Page 643]]

935.5 (a)(2) amended; (a)(3) and (b) through (g) added..............2949
935.17 Revised......................................................2950
Chapter XI
1102.300--1102.304 (Subpart D) Authority citation revised...........1902
1102.305 Added......................................................1902
1102.306 Added......................................................1902
1102.307 Added......................................................1902
Chapter XIV
1402 Added.........................................................24638
1403 Added; interim................................................53084
Regulation at 59 FR 53084 eff. 11-21-94........................60888
1408 Added.........................................................24899
Chapter XVI
1609 Revised; interim..............................................52671
Regulation at 59 FR 52671 confirmed; eff. 1-12-95..............64111
1627 Revised........................................................5939
1630 Added; interim.................................................8845
Regulation at 59 FR 8845 confirmed.............................37931
1640 Added; interim................................................47793
Regulation at 59 FR 47793 confirmed............................60305
Chapter XVII
Chapter XVII Established...........................................62304

1995

12 CFR
60 FR
Page
Chapter I
3 Authority citation revised.......................................17987
3.2 (a) revised.....................................................7907
3.10 Revised.......................................................39493
3.100 (c)(2) revised; interim......................................39229
3 Appendix A amended....................7907, 17987, 39493, 46174, 46176
Appendix A amended; interim.............................39229, 47458
Appendix A corrected....................................43191, 64115
Appendix A amended; eff. 4-1-96................................66044
4 Revised..........................................................57322
6.2 (g) revised; interim...........................................39229
10 Authority citation revised......................................57332
10.1 Introductory text amended.....................................57332
10.2 (b) amended...................................................57332
10.3 (a) revised; (b) and (c) amended; (d) added...................57332
10.4 (a)(1), (2)(ii), (b)(2)(i), (ii), (c)(1) and (d)(2) amended
57332
10.41 Undesignated center heading and section removed..............57332
10.42 Removed......................................................57332
11 Authority citation revised......................................57332
11.1 (a) amended...................................................57332
11.2 (a) and (c) amended...........................................57332
11.3 Revised.......................................................57332
11.4 (a) revised...................................................57332
18.1 (a) amended...................................................57332
18.4 (a)(1)(ii), (b) and (d) amended...............................57332
18.5 (a) revised...................................................57332
18.9 Amended.......................................................57333
18.10 Revised......................................................57333
19 Authority citation revised......................................30184
19.9 (a)(1) and (b) revised; (e) added.............................30184
22 Authority citation revised......................................35288
22.6 Added; eff. 1-2-96............................................35288
24.4 (a)(2) and (3) amended; (a)(4) removed........................67050
25 Authority citation revised......................................22178
25.1 Removed.......................................................22189
25.2 Removed.......................................................22189
25.3 Removed; eff. 7-1-97..........................................22189
25.4 Removed; eff. 7-1-97..........................................22189
25.5 Removed; eff. 7-1-97..........................................22189
25.6 Removed; eff. 7-1-97..........................................22189
25.7 Removed; eff. 7-1-97..........................................22189
25.8 Removed.......................................................22189
25.11--25.12 (Subpart A) Added.....................................22178
25.12 (h)(3) amended...............................................66050
25.21--25.29 (Subpart B) Added.....................................22180
25.27 (h) amended..................................................66050
25.41--25.45 (Subpart C) Added.....................................22184
25.51 (Subpart D) Added............................................22186
Removed; eff. 7-1-97...........................................22189
(a) amended....................................................66050
25.101 Undesignated center heading and section removed.............22189
25 Appendix A added................................................22186
Appendix B added...............................................22189
30 Added...........................................................35680
30 Appendix A added.........................................35678, 35682
32 Revised..........................................................8532
35 Removed; eff. 1-1-99............................................27401
Chapter II
201.51 Revised......................................................9281
202 Supplement I amended.............................29967, 29968, 29969
203.4 (e) added....................................................22225
203 Appendix A amended.............................................22225
Supplement I added.............................................63396
204.9 (a) revised..................................................57913
205.9 Regulation at 59 FR 61788 confirmed; (a)(4) revised..........15033

[[Page 644]]

207 OTC margin stock lists.....................5845, 20005, 38948, 55184
208 Authority citation revised................35288, 35682, 39229, 39493
208.8 (e)(4) added; eff. 1-2-96....................................35288
208.31 (f) revised; interim........................................39229
208.60 (Subpart D) Added...........................................35682
208.123 Added......................................................17437
208 Appendix A amended.........................8180, 39493, 46176, 46178
Appendix D added........................................35678, 35682
Appendix A amended; interim....................................39229
Appendixes A and B amended; interim............................39230
Appendixes A and B amended.....................................45615
Appendix A amended; eff. 4-1-96................................66044
211 Authority citation revised.....................................67054
211.2 (u) and (v) redesignated as (v) and (w); new (u) and (x)
added......................................................67054
211.5 (c)(2) and (3) redesignated as (c)(3) and (4); new (c)(2)
added; new (c)(3) amended..................................67054
215 Authority citation revised.....................................31054
215.2 (i) introductory text amended; (i)(1) and (2) revised;
(i)(3) removed.............................................31054
215.5 (c)(2) introductory text revised.............................17636
219 Heading and revised..............................................233
Regulation at 60 FR 233 eff. date delayed to 4-1-96............44144
219.1--219.7 Designated as Subpart A; heading added..................233
Regulation at 60 FR 233 eff. date delayed to 4-1-96............44144
219.1 Revised........................................................233
Regulation at 60 FR 233 eff. date delayed to 4-1-96............44144
219.2 Introductory text revised......................................233
Regulation at 60 FR 233 eff. date delayed to 4-1-96............44144
219.21--219.24 (Subpart B) Added.....................................233
Regulation at 60 FR 233 eff. date delayed to 4-1-96............44144
220 OTC margin stock lists.....................5845, 20005, 38948, 55184
221 OTC margin stock lists.....................5845, 20005, 38948, 55184
224 OTC margin stock lists.....................5845, 20005, 38948, 55184
225.7 (b)(4) added.................................................20189
225.32 (a)(2) redesignated as (a)(3); new (a)(2) added.............35121
225 Appendix A amended.........................8181, 45616, 46179, 46181
Appendix A amended; interim....................................39230
Appendixes A and D amended; interim............................39231
Appendix A amended; eff. 4-1-96................................66045
226.1 (d)(5) redesignated as (d)(6); (b) and new (d)(6) revised;
new (d)(5) added...........................................15471
226.2 (a)(17)(i) Footnote 3 revised................................15471
226.5b (f)(2) introductory text revised; (f)(4) added..............15471
226.23 (a)(3) Footnote 48 revised..................................15471
226.28 (b) amended.................................................15471
226.31--226.33 (Subpart E) Added...................................15471
226.31 (g) corrected...............................................29969
226.32 (b)(1)(iii) corrected.......................................29969
226 Appendix H amended.............................................15473
Appendix K added...............................................15474
Appendix L added...............................................15476
Supplement I amended...............16776, 16777, 16778, 16779, 16780
Appendix K corrected...........................................50400
228 Authority citation revised.....................................22189
228.1 Removed......................................................22201
228.2 Removed......................................................22201
228.3 Removed; eff. 7-1-97.........................................22201
228.4 Removed; eff. 7-1-97.........................................22201
228.5 Removed; eff. 7-1-97.........................................22201
228.6 Removed; eff. 7-1-97.........................................22201
228.7 Removed; eff. 7-1-97.........................................22201
228.8 Removed......................................................22201
228.11--228.12 (Subpart A) Added...................................22190
228.12 (h)(3) amended..............................................66050
228.21--228.29 (Subpart B) Added...................................22191
228.27 (h) amended.................................................66050
228.41--228.45 (Subpart C) Added...................................22195
228.51 (Subpart D) Added...........................................22197
Removed; eff. 7-1-97...........................................22201
(a) amended....................................................66050
228.100 Removed....................................................22201
228 Appendix A added...............................................22198
Appendix B added...............................................22200
229.1 (b)(2) revised...............................................51670
229.2 (e)(6), (s) and (ll) revised; (l) and (y) removed............51670
229.12 Heading and (a) revised.....................................51670
229.13 (a) introductory text added; (a)(1)(iii) revised............51671

[[Page 645]]

229.16 (b)(2) amended..............................................51671
229.17 Revised.....................................................51671
229.19 (b) introductory text, (c)(4)(i), (e)(1)(ii) and (2)(ii)
revised....................................................51671
229.36 (e) revised.................................................51671
229 Appendixes A, B-1, B-2 and C amended...........................51671
Appendix E revised.............................................51672
Appendix F amended.............................................51703
230.4 (b)(6)(iii) amended; interim..................................5130
230.8 (c)(6)(ii) added; interim.....................................5130
230 Appendix A amended; interim.....................................5130
Appendix B amended; interim.....................................5131
261a Revised........................................................3341
263 Authority citation revised.....................................35682
263.300--263.305 (Subpart I) Added.................................35682
265.6 (b)(2) revised; (b)(3) added.................................10307
265.11 (e)(12) added...............................................22257
Chapter III
ChapterIII Regulation status notification..........................66483
303 Authority citation revised.....................................35683
303.0 (c) heading and (1) removed; (c)(2) redesignated as (c)......31384
303.9 (o) added....................................................35683
304.5 (a) and (c) amended..........................................31384
308 Authority citation revised..............................24762, 35684
308.9 (a) and (b) revised; (e) added...............................24762
308.145 Amended....................................................31384
308.300--308.305 (Subpart R) Added.................................35684
309 Revised; eff. 1-2-96...........................................61465
309.4 (e) and (g) amended..........................................31384
309.5 (h) amended..................................................31384
324.2 (d) amended..................................................31384
324.7 (a) amended..................................................31384
325 Authority citation revised..............................15861, 45609
325.2 (t) and (v) amended...........................................8187
(n) amended; (s) revised; interim..............................39232
325.3 (e) added; interim...........................................45609
325.5 (f)(3)(i) and (4)(i) amended; (g) added.......................8187
(f), (g)(2)(i)(B) and (5) amended; interim.....................39232
325 Appendix A amended..................8188, 15861, 39493, 46183, 46184
Appendixes A and B amended; interim............................39232
Appendix A amended; interim....................................45609
Appendix A amended; eff. 4-1-96................................66045
327 Assessment rate schedule.........................42741, 63400, 63406
327.3 (c)(2), (d)(2), (e) and (f) revised; (c)(3) and (j) added....50407
327.7 (a)(2), (3) and (b) revised; (c) added.......................50409
327.8 (i) added....................................................42741
327.9 (a) revised; (b) removed; (c) redesignated as (d); new (b)
and new (c) added..........................................42741
(b)(3)(i), (c)(2) introductory text and (3) amended............67055
330.6 (a) revised...................................................7709
330.7 (c) revised...................................................7710
330.10 Heading revised..............................................7710
330.11 (d) added....................................................7710
330.12 (g) heading and introductory text revised; (g)(1), (2) and
(3) redesignated as (g)(2), (3) and (4); new (g)(1) and
(h) added...................................................7710
336 Authority citation revised.....................................20177
336.1 Revised......................................................20178
336.2 Removed......................................................20178
336.3 Removed......................................................20178
336.4 Removed......................................................20178
336.5 Removed......................................................20178
336.6 Removed......................................................20178
336.7--336.14 (Subpart B) Removed..................................20178
336.15--336.23 (Subpart C) Removed.................................20178
336.29--336.31 (Subpart D) Removed.................................20178
336.32--336.37 (Subpart E) Removed.................................20178
336 Appendix removed...............................................20178
337.6 (e)(1) amended; (h)(3) revised...............................31384
339 Authority citation revised.....................................35288
339.7 Added; eff. 1-2-96...........................................35288
341.3 (c) amended..................................................31384
341.5 (b) amended..................................................31384
343.3 (e) amended..................................................31384
344.8 Added.........................................................7111
345 Authority citation revised.....................................22201
345.1 Removed......................................................22212
345.2 Removed......................................................22212
345.3 Removed; eff. 7-1-97.........................................22212
345.4 Removed; eff. 7-1-97.........................................22212
345.5 Removed; eff. 7-1-97.........................................22212
345.6 Removed; eff. 7-1-97.........................................22212
345.7 Removed; eff. 7-1-97.........................................22212

[[Page 646]]

345.8 Removed......................................................22212
345.11--345.12 (Subpart A) Added...................................22201
345.12 (h)(3) amended..............................................66050
345.21--345.29 (Subpart B) Added...................................22202
345.27 (h) amended.................................................66050
345.41--345.45 (Subpart C) Added...................................22206
345.51 (Subpart D) Added...........................................22209
Removed; eff. 7-1-97...........................................22212
(a) amended; eff. to 7-1-97....................................66050
345.101 Undesignated center heading and section removed............22212
345.102 Removed....................................................22212
345 Appendix A added...............................................22209
Appendix B added...............................................22211
346.20 (a) amended.................................................31384
346.101 (g) revised................................................31384
360 Authority citation revised..............................35488, 66865
360.3 (f) revised..................................................35488
360.4 Revised......................................................35488
360.5 Added........................................................66865
361.7 (b) amended..................................................31384
362.6 Revised......................................................31384
364 Added..........................................................35685
364 Appendix A added........................................35678, 35685
Chapter IV
400 Revised........................................................17628
401 Removed........................................................16045
402 Removed........................................................16045
406 Removed........................................................16045
409 Removed.........................................................9613
Chapter V
500--517 (Subchapter A) Heading removed; nomenclature change.......66715
500.1 Existing text designated as (a); (b), (c) and (d)
redesignated from 500.3, 500.4 and 500.5...................66868
500.3 Existing text redesignated as 500.1(b); removed..............66868
500.4 Existing text redesignated as 500.1(c); removed..............66868
500.5 Existing text redesignated as 500.1(d); removed..............66868
500.10 Amended.....................................................66869
500.11 Removed.....................................................66869
500.12 Removed.....................................................66869
500.14 Removed.....................................................66869
500.15 Removed.....................................................66869
500.17 Removed.....................................................66869
504 Removed........................................................66869
505.1 (a) and (b) amended..........................................66715
505.2 Revised......................................................66716
505.3 Revised......................................................66716
505.4 Revised......................................................66716
506.1 (b) table amended (OMB numbers)..............................28031
Revised (OMB numbers)..........................................66716
509.9 (a) and (b) revised; (e) added...............................28035
510 Authority citation revised..............................28031, 66716
510.1 Removed......................................................66869
510.2 (a) amended..................................................66716
510.3 Removed......................................................66869
510.5 Revised......................................................28031
512 Authority citation revised.....................................66716
512.4 Amended......................................................66717
512.5 (a) amended..................................................66717
515 Removed........................................................66869
516.1 (b)(1) through (5) amended...................................66717
516.3 (c) revised..................................................66717
528--535 (Subchapter B) Heading removed; nomenclature change.......66715
529 Removed........................................................66869
533 Removed........................................................66869
541--558 (Subchapter C) Heading removed; nomenclature change.......66715
543.8 (a) amended..................................................66717
543.11 (c)(1)(iii)(C) amended......................................66717
543.12 Removed.....................................................66869
543.13 Removed.....................................................66869
544.3 Amended......................................................66717
545.15 Removed.....................................................66869
545.18 Removed.....................................................66869
545.19 Removed.....................................................66869
545.20 Removed.....................................................66869
545.44 Removed.....................................................66869
545.74 (c)(4)(iv) amended..........................................66717
545.82 (c)(1)(i), (ii) and (f)(2) amended..........................66717
545.121 (c) concluding text and (e) amended........................66717
545.122 Removed....................................................66869
545.131 (b)(7) introductory text amended...........................66717
545.136 Removed....................................................66869
545.137 Removed....................................................66869
550.2 (c) introductory text, (1), (4), (5), (7), (9) and (d)
amended....................................................66717
550.3 Amended......................................................66717
550.10 (b)(2) amended..............................................66717
550.13 (b) amended.................................................66717
550.14 (a), (b) and (c) introductory text amended..................66717

[[Page 647]]

550.15 (a) amended.................................................66718
552.2-4 Removed....................................................66869
552.5 (a) and (b)(1)(ii) amended...................................66718
552.6-2 (b) amended................................................66869
552 Appendix amended...............................................66718
556.4 Removed......................................................66869
556.5 (c)(4) amended...............................................66718
556.6 Removed......................................................66869
556.8 Removed......................................................66869
556.9 Removed......................................................66869
556.11 Removed.....................................................66869
556.14 Removed.....................................................66869
556.15 Removed.....................................................66869
561--575 (Subchapter D) Heading removed; nomenclature change.......66715
562.3 Removed......................................................66869
563 Authority citation revised.....................................35288
563.8 Removed......................................................66869
563.9 (f) amended..................................................66718
563.41 (b)(11) added; (d)(1) removed; (d)(2) through (7)
redesignated as (d)(1) through (6); (b)(10)(iv) and new
(d)(1) amended.............................................66869
563.42 (d)(1) amended..............................................66869
563.43 (f) added...................................................66869
563.48 (f) added; eff. 1-2-96......................................35288
563.49 Removed.....................................................66869
563.52 (b) amended.................................................66869
563.72 Removed.....................................................66869
563.93 (b) introductory text, (9), (c) introductory text,
(d)(3)(ii), (f)(1) and Appendix amended; (b)(6) and (11)
revised; interim...........................................15863
Regulation at 60 FR 15861 confirmed............................66715
(b)(11)(ii) amended............................................66718
563.134 (b)(5) and (c) amended.....................................66718
563.160 (c)(2) and (d)(1) amended; (f) removed.....................66718
563.170 (b)(1), (c)(3)(iii) and (e) amended........................66718
563.177 (a) and (b) amended........................................66718
563b.2 (a)(15) removed; (a)(16) redesignated as (a)(15); new
(a)(16) added..............................................66718
563b.3 (c)(8) and (13) amended.....................................66718
563b.4 (b)(1)(i) concluding text redesignated as (b)(2)(ii) and
amended....................................................66718
563b.8 (e)(1) amended..............................................66718
563b.29 (b) amended................................................66718
563c Authority citation revised....................................66718
563c.3 (a) designation and (b) removed.............................66718
563d Authority citation revised....................................66718
563d.1 Amended.....................................................66718
563d.2 Amended.....................................................66718
563d.200-30 Removed................................................66869
563e Authority citation revised....................................22212
563e.1 Removed.....................................................22223
563e.2 Removed.....................................................22223
563e.3 Removed; eff. 7-1-97........................................22223
563e.4 Removed; eff. 7-1-97........................................22223
563e.5 Removed; eff. 7-1-97........................................22223
563e.6 Removed; eff. 7-1-97........................................22223
563e.7 Removed; eff. 7-1-97........................................22223
563e.8 Removed.....................................................22223
563e.11--563e.12 (Subpart A) Added.................................22212
563e.12 (g)(3) amended.............................................66050
563e.21--563e.29 (Subpart B) Added.................................22213
563e.27 (h) amended................................................66050
563e.41--563e.45 (Subpart C) Added.................................22217
563e.51 (Subpart D) Added..........................................22220
Removed; eff. 7-1-97...........................................22223
(a) amended....................................................66050
563e Appendix A added..............................................22220
Appendix B added...............................................22223
563g.5 (b)(1) and (2) revised......................................66869
563g.22 Removed....................................................66870
565.2 (f) revised; interim.........................................39232
565.9 (a) amended..................................................66719
566 Authority citation revised.....................................66719
566.2 (c) amended..................................................66719
567 Authority citation revised.....................................45621
567.1 (m) revised; interim.........................................39232
(d) revised....................................................42028
567.3 (a), (d)(1) and (5) revised; (b)(5), (d)(2) and (3) amended
66719
567.4 (a)(1) introductory text, (3)(i) introductory text, (A),
(C), (ii), (4), (5)(ii) and (b)(1) amended; (a)(2)
introductory text and (6) revised..........................66719
567.5 (a)(2) heading, (i) and (ii) revised; interim................39232
567.6 (a)(1)(iv)(L) and (M) revised; interim.......................39232
(a) and (2)(i)(C) amended; (a)(3) added; interim...............45621
567.9 (c)(1) revised; interim......................................39232
567.10 (a)(3) introductory text and (c) amended....................66720

[[Page 648]]

567.12 Heading and (a) through (f) revised; interim................39232
567.13 (c) amended.................................................66720
570 Added..........................................................35686
570 Appendix A added........................................35678, 35687
571.6 (a)(2)(iv), (b)(3)(i), (d)(1), (2), (4)(ii) and (g) amended;
(b)(3)(i) redesignated as (b)(3)...........................66720
571.13 (a) introductory text and (1) amended.......................66720
571.20 (a) amended.................................................66720
571.24 (a) amended.................................................66870
574.2 (i) removed..................................................66720
574.3 (c)(2)(v) amended............................................66720
574.4 (c)(4)(ii) and (f)(2) amended................................66720
574.6 (a)(4), (5) and (6) added; (c)(3)(ii)(D) amended;
(c)(3)(iii) removed........................................66720
574.7 (a)(2)(iii)(A), (E), (F)(1) through (4) and (c)(2)
introductory text amended..................................66720
575.2 (i) and (p) amended..........................................66720
575.10 (a)(1) and (2)(iii) amended.................................66720
575.11 (g) amended.................................................66720
583--584 (Subchapter F) Heading removed; nomenclature change.......66715
583 Authority citation revised..............................66720, 66870
583.10 Removed.....................................................66720
583.17 Amended.....................................................66870
584.1 (b) amended..................................................66720
584.2-1 (b)(2) and (3) introductory text amended...................66870
584.2a (a)(2) amended..............................................66870
584.2-2 (b) and (c) amended........................................66720
584.3 Removed......................................................66870
584.6 Removed......................................................66870
584.11 Removed.....................................................66870
590--591 (Subchapter G) Heading removed; nomenclature change.......66715
Chapter VI
Chapter VI Regulatory burden statement.............................57913
601 Revised; interim (effective date pending)......................30782
Regulation at 60 FR 30782 confirmed; eff. 9-13-95..............47453
607.2 Regulation at 59 FR 37403 eff. 12-31-94........................325
611.1125 (b)(2) amended (effective date pending)...................34099
Regulation at 60 FR 34099 eff. 8-8-95..........................42049
612 Regulation at 59 FR 24894 eff. 12-31-94..........................325
614 Authority citation revised.....................................35289
614.4240--614.4267 (Subpart F) Regulation at 59 FR 46730 eff. 1-4-
95..........................................................2683
614.4260 (c)(5) introductory text revised...........................2687
614.4351 Regulation at 59 FR 37403 eff. 12-31-94.....................325
614.4443 Regulation at 59 FR 46734 eff. 1-4-95......................2683
614.4470 (b)(1) and (3) amended (effective date pending)...........20010
Regulation at 60 FR 20010 eff. 5-24-95.........................27402
614.4710 Regulation at 59 FR 37404 eff. 12-31-94.....................325
614.4940 (Subpart S) Added; eff. 1-2-96............................35289
615.5104 Removed (effective date pending)..........................20011
Regulation at 60 FR 20011 eff. 5-24-95.........................27402
615.5105 (c) removed (effective date pending)......................20011
Regulation at 60 FR 20011 eff. 5-24-95.........................27402
615.5131 Regulation at 59 FR 37404 eff. 12-31-94.....................325
615.5170 (a) designation and (b) through (e) removed (effective
date pending)..............................................20011
Regulation at 60 FR 20011 eff. 5-24-95.........................27402
615.5190 (Subpart G) Removed (effective date pending)..............20011
Regulation at 60 FR 20011 eff. 5-24-95.........................27402
615.5201 Regulation at 59 FR 37404 eff. 12-31-94.....................325
615.5210 Regulation at 59 FR 37404 eff. 12-31-94.....................325
615.5230 (a)(1)(ii) and (3) revised; (a)(1)(iii) added (effective
date pending)..............................................57921
615.5498 Removed (effective date pending)..........................20011
Regulation at 60 FR 20011 eff. 5-24-95.........................27402
615.5500--615.5530 (Subpart P) Removed (effective date pending)....20011

[[Page 649]]

Regulation at 60 FR 20011 eff. 5-24-95.........................27402
Added; interim (effective date pending)........................57919
618.8000--618.8030 (Subpart A) Revised (effective date pending)....34099
Regulation at 60 FR 34099 eff. 8-8-95..........................42029
618.8025 (a) corrected.............................................42029
618.8030 Redesignated as 618.8040 (effective date pending).........34099
Regulation at 60 FR 34099 eff. 8-8-95..........................42029
618.8040 (b)(10) removed; (b)(2) through (9) redesignated as
(b)(3) through (10); (b)(1) and new (6) revised; new
(b)(2) added; new (b)(3) amended (effective date pending)
34101
Redesignated from 618.8030 (effective date pending)............34099
Regulation at 60 FR 34099 eff. 8-8-95..........................42029
618.8220 Removed (effective date pending)..........................20011
Regulation at 60 FR 20011 eff. 5-24-95.........................27402
618.8320 Regulation at 59 FR 46734 eff. 1-4-95......................2683
618.8325 Regulation at 59 FR 46734 eff. 1-4-95......................2683
620.1 Regulation at 59 FR 37406 eff. 12-31-94........................325
620.5 (a)(3) amended (effective date pending)......................34102
Regulation at 60 FR 34102 eff. 8-8-95..........................42029
620.21 Heading, (c)(3), (d)(1), (3), (5) and (6) revised
(effective date pending)...................................20013
Regulation at 60 FR 20013 eff. 5-24-95.........................27684
(d)(1) amended; (d)(3) revised (effective date pending)........57922
630 Regulation at 59 FR 46742 eff. 1-4-95...........................2493
Chapter VII
701.1 OMB number...................................................67321
701.6 (d)(4) revised; eff. 1-29-96.................................58503
701.14 (a) amended.................................................31911
701.21 (c)(8) revised..............................................51889
(a) amended; eff. 1-29-96......................................58504
(a) corrected..................................................63613
701.22 (a)(1), (b)(2), (c)(4) and (d)(1) revised; eff. 1-26-96.....58204
701.23 (b)(2)(iii) revised; eff. 1-29-96...........................58504
705.3 (b) revised; eff. 1-29-96....................................58504
707 Compliance date extension...............................25121, 57173
707 Appendix C amended.............................................21699
708a Regulation at 59 FR 48792 confirmed...........................12661
708a.1 Revised.....................................................12661
708a.2 Revised.....................................................12661
708a.3 Added.......................................................12661
708a.4 Added.......................................................12662
708a.5 Added.......................................................12662
708a.6 Added.......................................................12662
708a Appendix A added..............................................12662
722.3 Heading, (a) and (d) revised; (e) added......................51894
722.4 Revised......................................................51894
722.5 (b) revised..................................................51895
722 Appendix A removed.............................................51895
741 Revised; eff. 1-29-96..........................................58504
747.901 Amended....................................................31911
747.902 Amended....................................................31911
747.904 (b)(2) amended.............................................31911
760 Authority citation revised.....................................35289
760.12 Added; eff. 1-2-96..........................................35289
790.2 (b)(14) revised; (c)(2) amended..............................31911
792 Authority citation revised.....................................31912
792.2 (f) amended..................................................31911
792.34 (b)(3) added................................................31912
Chapter IX
900 Authority citation revised.....................................49199
900.51 Revised.....................................................49199
922.6 Revised......................................................49199
922.7 Removed......................................................49199
934 Authority citation revised.....................................65516
934.11 Removed; new 934.11 redesignated from 934.12................65516
934.12 Redesignated as 934.11; new 934.12 redesignated from 934.13
65516
934.13 Redesignated as 934.12; new 934.13 redesignated from 934.14
65516
934.14 Redesignated as 934.13; new 934.14 redesignated from 934.15
65516
934.15 Regulation at 55 FR 50545 confirmed.........................42779
Redesignated as 934.14.........................................65516
937 Removed........................................................36967
939 Removed........................................................36967
943 Authority citation revised.....................................57682
943.6 (a) and (c) revised..........................................57682
960 Authority citation revised.....................................49330

[[Page 650]]

960.4 (a) amended..................................................49330
960.5 (a)(1) revised; (g) added....................................49330
Chapter XIV
1401 Added; interim................................................30778
Chapter XVI
Chapter XVI Removed................................................66483
1617 Revised........................................................7663
Chapter XVIII
Chapter XVIII Established; interim.................................54115

1996

12 CFR
61 FR
Page
Chapter I
1 Revised..........................................................63982
2 Revised..........................................................51781
3.6 (a) revised....................................................47367
3.100 (f) heading and (1) revised..................................60363
3 Appendix A corrected..............................................1273
Appendix B added...............................................47367
Appendix A amended.............................................60363
5 Revised..........................................................60363
5.23 Removed.......................................................19532
5.25 Removed.......................................................19532
5.32 Removed.......................................................19532
5.41 Removed.......................................................19532
5.43 Removed.......................................................19532
7 Revised...........................................................4862
7.1000 (a)(2)(i) amended; (c)(1) revised...........................60387
7.1021 Removed.....................................................63986
7.2023 Removed.....................................................60387
7.2024 Removed.....................................................60387
8.2 (a)(6) added; (b) redesignated as (b)(1); concluding text
designated as (b)(2) and (3); (a)(5) and new (b)(3)
amended....................................................64002
9 Revised; eff. 1-29-97............................................68554
12 Revised.........................................................63965
16.20 (d) revised..................................................60387
19 Authority citation revised...............................20334, 68559
19.1 (e)(9) amended; (f) redesignated as (g); (e)(11), (12) and
new (f) added..............................................20334
19.6 (a)(3) revised................................................20334
19.8 (b) revised...................................................20334
19.11 (c)(2) and (d) revised.......................................20334
19.12 (a), (c)(1), (2) and (3) revised.............................20335
19.20 Revised......................................................20335
19.24 (a) and (b) revised..........................................20335
19.25 (a), (b), (e) and (g) revised................................20335
19.33 (a) revised..................................................20336
19.34 (a) and (b)(1) revised.......................................20336
19.35 (a)(3) redesignated as (a)(4); new (a)(3) added; (b) revised
20336
19.37 Heading and (a)(1) revised...................................20336
19.38 Revised......................................................20336
19.100 Revised.....................................................20337
19.112 (a), (b), (c) and (d)(3)(i) revised.........................20337
19.113 (a) and (b) revised; (c), (d) and (e) redesignated as (d),
(e) and (f); new (c) added.................................20337
19.135 Added; eff. 1-29-97.........................................68559
19.160 (a) amended.................................................20337
19.161 Revised.....................................................20337
19.162 Removed.....................................................20338
19.170 (d) revised; (e) and (f) redesignated as (f) and (g); new
(e) added..................................................20338
19.171 (b) revised.................................................20338
19.184 Revised.....................................................20338
20 Removed.........................................................19532
21 Heading revised..................................................4337
Authority citation revised......................................4337
21.11 (Subpart B) Revised...........................................4337
22 Revised.........................................................45702
23 Revised; eff. 1-17-97...........................................66560
24 Revised.........................................................49660
25.12 (h)(3) amended...............................................21363
26 Revised.........................................................40300
28 Revised.........................................................19532
28.2 (b) revised...................................................60387
28.10 Revised......................................................60387
28.11 (f) and (v) revised..........................................60387
30 Authority citation revised......................................43950
30 Appendix A amended..............................................43950
31 Authority citation revised.......................................4870
Revised........................................................54536
31.100--31.102 Undesignated center heading added....................4870
31.100 Added........................................................4870
31.101 Added........................................................4870
31.102 Added........................................................4870
34 Authority citation revised......................................11300
34.1--34.5 (Subpart A) Revised.....................................11300
34.20--34.25 (Subpart B) Revised...................................11301
34.81--34.87 (Subpart E) Revised...................................11301
Chapter II
201.51 Revised......................................................5926
202 Supplement I amended....................................50950, 50951

[[Page 651]]

204.2 (f)(1)(iii) revised; (f)(1)(iv) and (3) removed; (f)(1)(v)
redesignated as (f)(1)(iv); (c)(1)(i) introductory text,
(iv)(C), (E), (d)(2), new (f)(1)(iv)(C), new (E),
(h)(1)(ii)(A), (2)(ii) and (t) amended; eff. 4-1-97........69025
204.3 (a)(3)(i), (ii) designation and (i)(5)(iv) removed; (f)(1)
revised; (h)(1), (2), (i)(1)(ii) and (4)(ii) amended; eff.
4-1-97.....................................................69025
204.4 Revised; eff. 4-1-97.........................................69025
204.7 (a)(1) amended; eff. 4-1-97..................................69025
204.8 (a)(2)(i)(B)(5) and (3)(v) amended; eff. 4-1-97..............69025
204.9 (a) revised..................................................60173
(b) removed; (a)(1) and (2) redesignated as (a) and (b); eff.
4-1-97.............................................................69025
205.1 Revised......................................................19669
205.2 Revised......................................................19669
205.3 Revised......................................................19669
205.4 Revised......................................................19670
205.5 Revised......................................................19670
205.6 Revised......................................................19670
205.7 Revised......................................................19671
205.8 Revised......................................................19671
205.9 Revised......................................................19671
205.10 Revised.....................................................19672
205.11 Revised.....................................................19673
205.12 Revised.....................................................19674
205.13 Revised.....................................................19674
205.14 Revised.....................................................19674
205.15 Revised.....................................................19675
205 Appendixes A and B revised; Appendix C added...................19676
Supplement I revised...........................................19686
Supplement II removed..........................................19695
207 OTC margin stock lists.....................2667, 18495, 39556, 55555
Authority citation revised.....................................60166
207.114 Added......................................................60166
208 Authority citation revised..............................45704, 47369
208.8 (e) and Appendix A removed...................................45704
208.13 Revised.....................................................47369
208.20 Revised......................................................4343
208.23 Added.......................................................45704
208 Appendix D amended.............................................43951
Appendix A amended; Appendix E added...........................47370
211.8 Amended.......................................................4344
211.20 (b)(8) and (9) amended; (b)(10) added.......................39053
211.22 (a) revised; (c) removed; (d) redesignated as (c)...........24440
211.24 (a)(2)(i) and (ii) revised; (d)(3) redesignated as (d)(4);
new (d)(3) added............................................2901
(f) amended.....................................................4344
(g) added......................................................39053
211.30 Added........................................................6921
212 Revised........................................................40302
213.1 Revised......................................................52258
213.2 Revised......................................................52258
213.3 Revised......................................................52259
213.4 Revised......................................................52259
213.5 Revised......................................................52260
213.6 Removed......................................................52258
213.7 Revised......................................................52261
213.8 Revised......................................................52261
213.9 Added........................................................52261
213 Appendix D removed.............................................52258
Appendix A revised.............................................52262
Appendixes B and C revised; Supplement I amended...............52269
215.2 (e)(2)(i) revised............................................57770
Regulation at 61 FR 57770 eff. date corrected to 11-8-96.......58782
215.4 (a) introductory text, (1) and (2) redesignated as (a)(1)
introductory text, (i) and (ii); new (a)(1) heading and
new (2) added..............................................57770
Regulation at 61 FR 57770 eff. date corrected to 11-8-96.......58782
218 Removed........................................................57289
218.101 Redesignated as 250.400....................................57289
218.102 Redesignated as 250.401....................................57289
218.103 Redesignated as 250.402....................................57289
218.104 Redesignated as 250.403....................................57289
218.105 Redesignated as 250.404....................................57289
218.106 Redesignated as 250.405....................................57289
218.107 Redesignated as 250.406....................................57289
218.108 Redesignated as 250.407....................................57289
218.109 Redesignated as 250.408....................................57289
218.110 Redesignated as 250.409....................................57289
218.111 Redesignated as 250.410....................................57289
218.112 Redesignated as 250.411....................................57289
218.113 Redesignated as 250.412....................................57289
218.114 Removed....................................................57289
219 Regulation at 60 FR 233 eff. date delayed to 5-28-96...........14382
219.1--219.7 (Subpart A) Regulation at 60 FR 233 eff. date delayed
to 5-28-96.................................................14382
219.1 Regulation at 60 FR 233 eff. date delayed to 5-28-96.........14382
219.2 Regulation at 60 FR 233 eff. date delayed to 5-28-96.........14382

[[Page 652]]

Revised........................................................29640
219.3 Revised......................................................29640
219.4 Revised......................................................29640
219.5 Revised......................................................29641
219.6 Revised......................................................29641
(b) corrected..................................................32317
219.7 Removed......................................................29641
219.21--219.24 (Subpart B) Regulation at 60 FR 233 eff. date
delayed to 5-28-96.........................................14382
Authority citation revised.....................................58975
219.21 Amended.....................................................58975
220 OTC margin stock lists.....................2667, 18495, 39556, 55555
Authority citation revised.....................................60167
220.1 Revised......................................................20390
220.2 Revised......................................................20390
220.3 Revised......................................................20392
220.4 Revised......................................................20392
220.5 Revised......................................................20394
220.6 Revised......................................................20394
220.7 Revised......................................................20394
220.8 Revised......................................................20394
220.9 Revised......................................................20395
220.10 Revised.....................................................20395
220.11 Revised.....................................................20395
220.12 Revised.....................................................20395
220.13 Revised.....................................................20396
220.14 Revised.....................................................20396
220.15 Revised.....................................................20396
220.16 Revised.....................................................20396
220.17 Revised.....................................................20397
220.18 Revised.....................................................20397
220.19 Removed.....................................................20398
220.106 Removed....................................................20398
220.107 Removed....................................................20398
220.109 Removed....................................................20398
220.112 Removed....................................................20398
220.114 Removed....................................................20398
220.115 Removed....................................................20398
220.116 Removed....................................................20398
220.120 Removed....................................................20398
220.125 Removed....................................................20398
220.129 Removed....................................................20398
220.130 Removed....................................................20398
220.132 Added......................................................60167
221 OTC margin stock lists.....................2667, 18495, 39556, 55555
Authority citation revised.....................................60167
221.125 Added......................................................60167
224 OTC margin stock lists.....................2667, 18495, 39556, 55555
225.2 (q) added; interim...........................................56407
225.4 (f) amended...................................................4344
225.125 (g) revised................................................45875
225 Appendix A amended.............................................47372
Appendix E added...............................................47373
226 Adjustment notice........................................3177, 65317
226.2 (a)(6) revised...............................................49245
226.4 (a), (c)(7)(ii), (iii), (d) heading, (1) heading,
introductory text and (i) revised; (c)(7)(iv) redesignated
as (v); (b)(10), (c)(7) heading, new (iv), (d)(3) and
(e)(3) added...............................................49245
226.17 (c)(2) redesignated as (c)(2)(i); (a)(1) Footnote 38, new
(c)(2)(i) and (f) revised; (c)(2)(ii) added................49246
226.18 (d) Footnote 41 removed; (d)(1) and (2) added; (c)
Footnotes 39 and 40 redesignated as (c) Footnotes 40 and
41; (n) revised............................................49246
226.19 (a)(2) revised..............................................49246
226.22 (a)(4) and (5) added........................................49246
226.23 (b) introductory text and (1) through (5) redesignated as
(b)(1) introductory text and (i) through (v); (b)(2), (g)
and (h) added..............................................49246
226.31 (d) and (g) revised.........................................49247
226 Supplement I amended...............14955, 14956, 14957, 14959, 49248
Appendix H amended.............................................49247
228.12 (h)(3) amended..............................................21363
229 Appendixes A and B amended.....................................25390
231.3 (a) introductory text revised.................................1274
245 Removed........................................................52876
250 Authority citation revised.....................................57289
250.161 (d) amended................................................19806
250.162 (a) amended................................................19806
250.242 Added......................................................19806
250.400--250.413 Undesignated center heading added.................57289
250.400 Redesignated from 218.101..................................57289
250.401 Redesignated from 218.102..................................57289
250.402 Redesignated from 218.103..................................57289
250.403 Redesignated from 218.104..................................57289
250.404 Redesignated from 218.105..................................57289
250.405 Redesignated from 218.106..................................57289
250.406 Redesignated from 218.107..................................57289

[[Page 653]]

250.407 Redesignated from 218.108..................................57289
250.408 Redesignated from 218.109..................................57289
250.409 Redesignated from 218.110..................................57289
250.410 Redesignated from 218.111..................................57289
250.411 Redesignated from 218.112..................................57289
250.412 Redesignated from 218.113..................................57289
250.413 Added......................................................57289
261.10 Appendix A amended; interim.................................60014
263 Authority citation revised..............................20341, 56407
263.1 (e)(9) amended; (f) redesignated as (g); (e)(11), (12) and
new (f) added..............................................20341
263.6 (a)(3) revised...............................................20341
263.8 (b) revised..................................................20342
263.11 (c)(2) and (d) revised......................................20342
263.12 (a), (c)(1), (2) and (3) revised............................20342
263.20 Revised.....................................................20342
263.24 (a) and (b) revised.........................................20342
263.25 (a), (b), (e) and (g) revised...............................20343
263.33 (a) revised.................................................20343
263.34 (a) and (b)(1) revised......................................20343
263.35 (a)(3) redesignated as (a)(4); new (a)(3) added; (b)
revised....................................................20343
263.37 Heading and (a)(1) revised..................................20344
263.38 Revised.....................................................20344
263.65 Added.......................................................56407
(b)(2) introductory text corrected.............................65318
264 Revised........................................................53830
265.6 (a)(1) revised...............................................13395
268.207 (e) revised..................................................252
268.301 (c)(3) amended.............................................13079
268.304 (a)(3)(i)(A) amended.........................................252
268.305 (c)(1) amended.............................................13079
268.506 Amended....................................................13079
Chapter III
303.7 (g) added.....................................................5930
308 Authority citation revised.......................20347, 48403, 57990
308.1 (e)(8) amended; (f) redesignated as (g) and revised;
(e)(10), (11) and new (f) added............................20347
308.6 (a)(3) revised...............................................20347
308.8 (b) revised..................................................20347
308.11 (c)(2) and (d) revised......................................20347
308.12 (a), (c)(1), (2) and (3) revised............................20348
308.20 Revised.....................................................20348
308.24 (a) and (b) revised.........................................20348
308.25 (a), (b), (e) and (g) revised...............................20348
308.33 (a) revised.................................................20349
308.34 (a) and (b)(1) revised......................................20349
308.35 (a)(3) redesignated as (a)(4); new (a)(3) added; (b)
revised....................................................20349
308.37 Heading and (a)(1) revised..................................20349
308.38 Revised.....................................................20350
308.116 (b)(4) added...............................................57990
308.132 (c)(2) revised; (c)(3) added...............................57991
308.400--308.402 (Subpart S) Added.................................48403
310 Nomenclature change............................................43419
310.1 Revised......................................................43419
310.3 (a) revised..................................................43419
310.4 (b) and (c) revised..........................................43419
310.6 Amended......................................................43420
310.9 (d) redesignated as (e); new (d) added.......................43420
310.10 (b)(6) and (10) revised; (b)(12) added; (c) removed; (d)
and (e) redesignated as (c) and (d); new (c) and new (d)
amended....................................................43420
310.11 (b) amended.................................................43420
310.13 Amended.....................................................43420
311.2 (a) revised; (b)(3) amended..................................38357
311.7 Amended......................................................38357
311.8 Heading revised; (d)(1) amended; (e) added...................38357
324 Removed; eff. 1-1-99...........................................33843
325 Appendix A amended.............................................47375
Appendix C added...............................................47376
327 Assessment rate schedules........................26078, 26083, 64609
Authority citation revised.....................................53839
327.3 (c)(1) amended...............................................67696
327.4 (a) introductory text amended; (a)(1)(i)(A), (ii)(A) and (c)
revised....................................................67696
327.6 Heading and (a) revised......................................64983
327.8 (h) revised; (j) and (k) added...............................64983
(i) removed....................................................67696
327.9 Revised......................................................67696
327.10 Added.......................................................67698
327.32 (a)(2)(i)(A) and (3)(i) revised; (c) added..................53839

[[Page 654]]

(a)(1), (2) and (4) introductory text revised; (a)(5) removed
64983
327.33 Added.......................................................64983
327.34 Added.......................................................64984
327.35 Added.......................................................64984
327.36 Added.......................................................64984
327.37 Added.......................................................64984
327.41--327.45 (Subpart C) Added...................................53839
336 Revised........................................................28728
339 Revised........................................................45706
342 Removed........................................................48403
345.12 (h)(3) amended..............................................21364
346.1 (a) amended; (o) revised; (s) through (v) added...............5674
346.6 Revised.......................................................5674
348 Revised........................................................40305
353 Revised.........................................................6099
359 Added...........................................................5930
363.1 (b) revised...................................................6493
363.4 (b) revised...................................................6493
363.5 (b) revised...................................................6493
363 Appendix A amended..............................................6494
364 Appendix A amended.............................................43951
366 Added; interim..................................................9596
367 Added; interim.................................................35117
Regulation at 61 FR 35117 confirmed; revised...................68559
Chapter V
500--517 (Subchapter A) Regulation at 60 FR 66715 eff. date
corrected to 12-26-95........................................575
505.1 Regulation at 60 FR 66715 eff. date corrected to 12-26-95......575
505.2 Regulation at 60 FR 66716 eff. date corrected to 12-26-95......575
505.3 Regulation at 60 FR 66716 eff. date corrected to 12-26-95......575
505.4 Regulation at 60 FR 66716 eff. date corrected to 12-26-95......575
506.1 Regulation at 60 FR 66716 eff. date corrected to 12-26-95......575
(b) revised (OMB numbers)......................................65178
509 Authority citation revised.....................................20353
509.1 (e)(7) amended; (f) redesignated as (g); (e)(9), (10) and
new (f) added; new (g) revised.............................20353
509.6 (a)(3) revised...............................................20354
509.8 (b) revised..................................................20354
509.11 (c)(2) and (d) revised......................................20354
509.12 (a), (c)(1), (2) and (3) revised............................20354
509.20 Revised.....................................................20354
509.24 (a) and (b) revised.........................................20354
509.25 (a), (b), (e) and (g) revised...............................20355
509.33 (a) revised.................................................20355
509.34 (a) and (b)(1) revised......................................20355
509.35 (a)(3) redesignated as (a)(4); new (a)(3) added; (b)
revised....................................................20356
509.37 Heading and (a)(1) revised..................................20356
509.38 Revised.....................................................20356
509.102 (g)(2) revised.............................................20356
509.104 (h) removed; (i) redesignated as (h).......................20356
510 Authority citation revised.....................................56119
510.2 Regulation at 60 FR 66716 eff. date corrected to 12-26-95......575
510.6 Added........................................................56119
512.4 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575
512.5 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575
516.1 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575
516.3 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575
528--535 (Subchapter B) Regulation at 60 FR 66715 eff. date
corrected to 12-26-95........................................575
541--558 (Subchapter C) Regulation at 60 FR 66715 eff. date
corrected to 12-26-95........................................575
543.1 (b) amended..................................................64015
543.8 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575
543.11 Regulation at 60 FR 66717 eff. date corrected to 12-26-95
575
543.14 Amended.....................................................64015
544.1 Amended......................................................64015
544.2 (a)(2), (b)(4) and (c) revised; (b) introductory text
amended....................................................64016
544.3 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575
Removed........................................................64016

[[Page 655]]

544.5 (b) amended; (b)(12) and (15) removed; (b)(5) through (11),
(16), (17), (c)(1) introductory text, (i), (ii), (iii) and
concluding text redesignated as (b)(6) through (12), (15),
(16), (c)(1)(i) introductory text, (A), (B), (C) and
(iii); (a), new (b)(6), new (7), new (8), new (11), new
(15), new (16), new (c)(1)(i) introductory text, new (B),
new (iii), (2) and (d) revised; (b)(1) through (4), new
(10)(i), new (ii) and new (13) amended; new (b)(5),
(c)(1)(ii) and (3) added...................................64016
544.8 Removed......................................................64017
Redesignated from 545.131......................................64018
544.9 Removed......................................................64017
544 Appendix removed...............................................64017
545.31 Removed.....................................................50971
545.32 Removed.....................................................50971
545.33 Removed.....................................................50971
545.34 Removed.....................................................50971
545.35 Removed.....................................................50971
545.36 Removed.....................................................50971
545.37 Removed.....................................................50971
545.38 Removed.....................................................50971
545.39 Removed.....................................................50971
545.40 Removed.....................................................50971
545.41 Removed.....................................................50971
545.42 Removed.....................................................50971
545.43 Removed.....................................................50971
545.45 Removed.....................................................50971
545.46 Removed.....................................................50971
545.47 Removed.....................................................50971
545.48 Removed.....................................................50971
545.49 Removed.....................................................50971
545.50 Removed.....................................................50971
545.51 Removed.....................................................50971
545.52 Removed.....................................................50971
545.53 Removed.....................................................50971
545.72 Removed.....................................................50971
545.73 Removed.....................................................50971
545.74 Regulation at 60 FR 66717 eff. date corrected to 12-26-95
575
(c)(1)(vi) revised.............................................50971
(a), (b), (c) heading and introductory text, (1), (2), (3),
(4) heading, (ii)(F), (5), (6), (7), (d) and (e) removed;
(c)(4)(i) introductory text, (A) through (E), (ii) introductory
text, (A) through (E), (G), (iii) and (iv) redesignated as (a)
introductory text, (1) through (5), (b) introductory text, (1)
through (5), (6), (c) and (d); heading and new (a) introductory
text revised; new (b) introductory text, new (1) and new (c)
amended............................................................66570
545.75 Removed.....................................................50971
545.76 Removed.....................................................66571
545.77 Removed.....................................................66571
545.78 Removed.....................................................50971
545.80 Removed.....................................................66571
545.81 Removed.....................................................66571
545.82 Regulation at 60 FR 66717 eff. date corrected to 12-26-95
575
Removed........................................................66571
545.121 Regulation at 60 FR 66717 eff. date corrected to 12-26-95
575
545.126 Removed....................................................60178
545.131 Regulation at 60 FR 66717 eff. date corrected to 12-26-95
575
Redesignated as 544.8..........................................64018
550.2 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575
550.3 Regulation at 60 FR 66717 eff. date corrected to 12-26-95......575
550.10 Regulation at 60 FR 66717 eff. date corrected to 12-26-95
575
550.13 Regulation at 60 FR 66717 eff. date corrected to 12-26-95
575
550.14 Regulation at 60 FR 66717 eff. date corrected to 12-26-95
575
550.15 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575
552.1 Removed......................................................64018
552.2 Removed......................................................64018
552.2-5 Removed....................................................64018

[[Page 656]]

552.3 Amended......................................................64018
552.4 (b)(3) removed; (b)(4), (5) and (6) redesignated as (b)(3),
(4) and (5); (a)(1), (b) introductory text and new (4)
amended; (a)(2), new (b)(3), new (5) and (c) revised;
(b)(1) heading, (2) heading, (6) and (8) heading added.....64018
552.5 (a) amended; (b)(1) introductory text, (i), (ii) and
concluding text redesignated as (b)(1)(i) introductory
text, (A), (B) and (iii); new (b)(1)(i) introductory text,
new (B), new (iii) and (2) revised; new (b)(1)(ii), (3)
and (d) added..............................................64019
Regulation at 60 FR 66718 eff. date corrected to 12-26-95........575
552.6 (a), (b), (e) and (f)(1) amended; (d)(1) revised; (f)(3)
removed; (h) added.........................................64020
552.6-1 (a), (c) and (e) amended; (b), (f) heading, (1) and (k)
revised....................................................64020
552.6-2 (a) amended; (c) revised...................................64020
552.8 Removed......................................................64020
552.11 (b) amended.................................................64020
552 Regulation at 60 FR 66718 eff. date corrected to 12-26-95........575
Appendix removed...............................................64020
556.1 Removed......................................................64020
556.2 Removed......................................................50971
556.3 Removed......................................................50971
556.5 Regulation at 60 FR 66718 eff. date corrected to 12-26-95......575
556.10 Removed.....................................................50971
556.16 Removed.....................................................60178
556.17 Removed.....................................................64020
559 Added..........................................................66571
560 Added..........................................................50971
Authority citation revised.....................................60184
560.3 Amended; interim.............................................60184
560.30 Revised.....................................................66577
560.32 Added.......................................................66578
560.36 Added.......................................................66579
560.37 Added.......................................................66579
560.93 (a) revised.................................................66579
560.130 Added......................................................60178
561--575 (Subchapter D) Regulation at 60 FR 66715 eff. date
corrected to 12-26-95........................................575
561.13 Tables amended..............................................65179
563 Authority citation revised...............................6105, 45709
563.7 (a) and (d)(2) amended.......................................65179
563.9 Regulation at 60 FR 66718 eff. date corrected to 12-26-95......575
563.35 Removed.....................................................60178
563.36 Added; interim..............................................60184
563.37 Removed.....................................................66579
563.38 Removed.....................................................66579
563.40 Removed.....................................................60178
563.41 (e)(2)(iii) redesignated as (e)(3); (e)(2)(i), (ii)(B) and
new (3) amended............................................65179
(b)(4) revised.................................................66579
563.44 Removed.....................................................60178
563.48 Removed.....................................................45709
563.50 Removed; interim............................................60184
563.51 (f)(1)(i) amended...........................................50984
Removed; interim...............................................60184
563.52 Removed; interim............................................60184
563.93--563.101 (Subpart D) Removed................................50984
563.93 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575
563.132 Removed....................................................66579
563.134 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575
563.160 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575
Removed........................................................50984
563.170 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575
(c) revised....................................................50984
563.172 Removed....................................................50984
563.177 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575
563.180 Heading and (d) revised.....................................6105
563.200 Added......................................................60178
563.201 Added......................................................60179
563b.2 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575
563b.3 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575
563b.4 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575
563b.8 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575
563b.29 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575

[[Page 657]]

563c.3 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575
563d.1 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575
Amended........................................................65179
563d.2 Regulation at 60 FR 66718 eff. date corrected to 12-26-95
575
563e.12 (g)(3) amended.............................................21364
563f Revised.......................................................40308
565.9 Regulation at 60 FR 66719 eff. date corrected to 12-26-95......575
566.1 (g)(6)(i) amended............................................50984
566.2 Regulation at 60 FR 66719 eff. date corrected to 12-26-95......575
567.1 (l)(1) amended; (dd) revised.................................66579
567.3 Regulation at 60 FR 66719 eff. date corrected to 12-26-95......575
567.4 Regulation at 60 FR 66719 eff. date corrected to 12-26-95......575
567.10 Regulation at 60 FR 66720 eff. date corrected to 12-26-95
575
567.13 Regulation at 60 FR 66720 eff. date corrected to 12-26-95
575
570 Appendix A amended.............................................43952
571.4 Removed......................................................60179
571.6 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575
571.7 Removed......................................................60179
571.8 Removed......................................................50984
571.9 Removed......................................................60179
571.13 Regulation at 60 FR 66720 eff. date corrected to 12-26-95
575
Removed........................................................50984
571.20 Regulation at 60 FR 66720 eff. date corrected to 12-26-95
575
Removed........................................................50984
571.21 Removed.....................................................66579
571.22 Removed.....................................................50984
572 Added..........................................................45709
574.1 Revised; interim.............................................60184
574.2 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575
(q)(2)(ii) revised; (q)(3) added; interim......................60184
574.3 (c)(1)(iii) through (vii), (2)(iv) and (v) redesignated as
(c)(1)(iv) through (viii), (2)(v) and (vi); (c)(1)(ii) and
new (2)(v) amended; new (c)(1)(iii) and (2)(iv) added;
(c)(2)(i) revised; interim.................................60184
Regulation at 60 FR 66720 eff. date corrected to 12-26-95........575
574.4 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575
574.6 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575
(c)(5) amended.................................................65179
574.7 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575
575 Heading revised; interim.......................................60184
575.2 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575
(h) revised; interim...........................................60184
575.9 (a)(1), (4) and (5) amended; (a)(2) revised..................64021
575.10 Regulation at 60 FR 66720 eff. date corrected to 12-26-95
575
575.11 Regulation at 60 FR 66720 eff. date corrected to 12-26-95
575
583--584 (Subchapter F) Regulation at 60 FR 66715 eff. date
corrected to 12-26-95........................................575
583.10 Regulation at 60 FR 66720 eff. date corrected to 12-26-95
575
583.20 (b)(2) revised; (c) added; interim..........................60185
584.1 Regulation at 60 FR 66720 eff. date corrected to 12-26-95......575
584.2-2 Regulation at 60 FR 66720 eff. date corrected to 12-26-95
575
584.2a (e) removed; interim........................................60185
590--591 (Subchapter G) Regulation at 60 FR 66715 eff. date
corrected to 12-26-95........................................575
590.4 (e)(1) amended...............................................50984
Chapter VI
600 Authority citation revised.....................................67185
600.5 (b) and (d)(1) amended; (d)(2) revised (effective date
pending); interim..........................................67185
603 Authority citation revised.....................................67185
603.310 (b) amended (effective date pending); interim..............67185
611.1030 Amended (effective date pending); interim.................67185

[[Page 658]]

611.1135 (a), (b)(1), (2), (3)(v), (6), (7), (c), (d)(1)
introductory text, (iv) and (2) revised; (e) removed
(effective date pending); interim..........................67185
611.1140--611.1145 (Subpart J) Removed (effective date pending);
interim....................................................67186
611.1155--611.1158 (Subpart K) Removed (effective date pending);
interim....................................................67186
611.1160--611.1169 (Subpart L) Removed (effective date pending);
interim....................................................67186
611.1170--611.1176 (Subpart M) Removed (effective date pending);
interim....................................................67186
611.1180--611.1183 (Subpart N) Removed (effective date pending);
interim....................................................67186
611.1190--611.1198 (Subpart O) Removed (effective date pending);
interim....................................................67186
611.1200 (c) amended (effective date pending); interim.............67186
611.1250 (b) and (c) amended (effective date pending); interim.....67186
611.1255 Revised (effective date pending); interim.................67186
611.1266 (c) amended (effective date pending); interim.............67186
614.4321 Revised (effective date pending); interim.................67186
614.4367 (a)(4) and (c)(3) amended.................................11304
Regulation at 61 FR 11304 eff. 5-3-96..........................20125
614.4440 (h)(1) amended (effective date pending); interim..........67187
614.4444 Amended (effective date pending); interim.................67187
614.4510 (b) and (d)(4) removed; (c) and (d) redesignated as (b)
and (c); introductory text, (a) and new (c) introductory
text revised (effective date pending); interim.............67187
614.4515 Removed (effective date pending); interim.................67187
614.4516 Heading revised; introductory text added (effective date
pending); interim..........................................67187
614.4517 (c) added (effective date pending); interim...............67187
614.4520 Removed (effective date pending); interim.................67187
614.4525 (c) and (d) amended (effective date pending); interim.....67187
614.4920--614.4960 (Subpart S) Revised.............................45711
615 Authority citation revised.....................................31394
615.5120 (a) amended (effective date pending); interim.............67187
615.5140 (a)(1) revised (effective date pending); interim..........67187
615.5143 Amended (effective date pending); interim.................67187
615.5230 Regulation at 60 FR 57921 eff. 1-2-96......................1274
615.5250 (e) revised (effective date pending); interim.............67187
615.5280 (a) through (e) revised (effective date pending); interim
67187
615.5290 (a) amended (effective date pending); interim.............67188
615.5450--615.5462 (Subpart O) Revised; interim....................67192
615.5500--615.5502 (Subpart P) Regulation at 60 FR 57919 confirmed
12015
615.5560 (c) revised; interim......................................67195
615.5570 (Subpart S) Added.........................................31394
(c) revised; interim...........................................67195
618.8260 Removed (effective date pending); interim.................67188
618.8310 (b)(1) amended (effective date pending); interim..........67188
618.8320 (b)(2) and (5) revised; (b)(9) removed; (b)(10) and (11)
redesignated as (b)(9) and (10) (effective date pending);
interim....................................................67188
618.8325 (c) amended (effective date pending); interim.............67188
618.8330 (a) designation and (b) removed (effective date pending);
interim....................................................67188
618.8340 Removed (effective date pending); interim.................67188
618.8360 Removed (effective date pending); interim.................67188
618.8370 Removed (effective date pending); interim.................67188
618.8380--618.8420 (Subpart I) Removed (effective date pending);
interim....................................................67188
619.9060 Revised (effective date pending); interim.................67188

[[Page 659]]

620.21 Regulation at 60 FR 57922 eff. 1-2-96........................1274
621.11 Regulation at 59 FR 50888 confirmed.........................18236
622 Authority citation revised.....................................54729
622.61 Added.......................................................54729
Chapter VII
701 Authority citation revised......................................4214
701.1 Revised (OMB number).........................................11726
Revised; interim...............................................59308
701.12 (a), (b) and (c) revised; (d) and (e) redesignated as (g)
and (h); new (d), new (e) and (f) added....................41323
701.13 (a)(2) amended..............................................41326
701.21 (c)(7)(ii)(C) revised........................................4214
(d)(1) amended; (d)(4) introductory text revised...............68128
701.32 Heading, (a) and (b)(1) revised; (d) redesignated as
701.34(a); interim..........................................3790
Regulation at 61 FR 3790 confirmed.............................50697
701.34 (a) redesignated from 701.32(d); new (a)(1) amended; (b),
(c) and Appendix added; interim.............................3790
(a)(1) revised.................................................50695
Regulation at 61 FR 3790 confirmed; (b)(2) and (c) revised.....50697
705 Authority citation revised.....................................50695
705.3 (b) amended..................................................45875
(b) revised....................................................50695
705.5 (b)(1) revised...............................................50695
705.7 (a) amended..................................................50696
705.10 Revised.....................................................50696
707 Reporting and recordkeeping requirements.........................114
707.1 (c) amended..................................................68129
707.3 OMB number.....................................................114
707.4 OMB number.....................................................114
707.5 OMB number.....................................................114
707.6 OMB number.....................................................114
707.7 OMB number.....................................................114
707.8 OMB number.....................................................114
707.9 OMB number.....................................................114
707 Appendix C amended.............................................68129
709.5 (b)(6) and (7) revised; (b)(8) added; (e) amended; interim
3791
Regulation at 61 FR 3791 confirmed.............................50697
711 Revised........................................................50702
741.204 (b) amended; (c) added; interim.............................3792
Regulation at 61 FR 3792 confirmed.............................50697
745 Authority citation revised.....................................60186
745.200 (b) and (d) revised........................................60186
747 Authority citation revised..............................28024, 57291
747.1 (c)(2) amended; (d) redesignated as (e); (c)(3) and new (e)
revised; (c)(4) and new (d) added..........................28025
747.6 (a)(3) revised...............................................28025
747.8 (b) revised..................................................28025
747.9 (a) and (b) revised; (e) added...............................28025
747.11 (c)(2) and (d) revised......................................28025
747.12 (a), (c)(1), (2) and (3) revised............................28026
747.20 Revised.....................................................28026
747.24 (a) and (b) revised.........................................28026
747.25 (a), (b), (e) and (g) revised...............................28026
(b) amended....................................................45876
747.33 (a) revised.................................................28027
747.34 (a) and (b)(1) revised......................................28027
747.35 (a)(3) redesignated as (a)(4); new (a)(3) added; (b)
revised....................................................28027
747.37 Heading and (a)(1) revised..................................28027
747.38 Revised.....................................................28027
747.1001 (Subpart K) Added.........................................57291
748 Heading revised................................................11527
Authority citation revised.....................................11527
748.1 (c) revised..................................................11527
760 Revised........................................................45713
790.2 (b)(5) revised; (b)(6)(i), (ii) and (7) amended..............45876
791.6 Revised......................................................55208
Chapter IX
900.12 Revised.....................................................68129
900.13 Revised.....................................................68130
900.14 Revised.....................................................68130
900.15 Revised.....................................................68130
900.16 Revised.....................................................68130
900.17 Revised.....................................................68130
900.18 Revised.....................................................68130
900.19 Revised.....................................................68130
900.20 Removed.....................................................68130
900.21 Removed.....................................................68130
902 Authority citation revised.....................................64614
902.6 Added; eff. 1-6-97...........................................64614
910 Authority citation revised.....................................64024
910.3 Revised; interim.............................................64024
912 Revised; interim...............................................64024
931 Authority citation revised.....................................40313
931.5 Revised......................................................40313
932.26 Added.......................................................43154
932.27 Revised.....................................................43154
933 Heading revised................................................42542

[[Page 660]]

933.1 (Subpart A) Revised..........................................42542
933.2--933.5 (Subpart B) Revised...................................42543
933.6--933.10 (Subpart C) Redesignated as 933.19--933.23 (Subpart
D).........................................................42542
Added..........................................................42545
933.11--933.12 (Subpart D) Redesignated as 933.24--933.25 (Subpart
E).........................................................42542
933.13--933.15 (Subpart E) Redesignated as 933.26--933.28 (Subpart
F).........................................................42542
933.16 (Subpart F) Redesignated as 933.29 (Subpart G)..............42542
933.17 (Subpart G) Redesignated as 933.30 (Subpart H)..............42542
933.18 (Subpart H) Redesignated as 933.31 (Subpart I)..............42542
933.19 (Subpart I) Redesignated as 933.32 (Subpart J)..............42542
933.19--933.23 (Subpart D) Redesignated from 933.6--933.10
(Subpart C)................................................42542
933.20 (b)(1) and (2) amended......................................42549
933.22 (b)(1) amended..............................................42549
933.23 Amended.....................................................42549
933.24--933.25 (Subpart E) Redesignated from 933.11--933.12
(Subpart D)................................................42542
933.24 (a)(2) and (b)(2) amended...................................42549
933.25 (c), (d)(2)(ii)(A), (B), (iii) and (3) amended..............42549
933.26--933.28 (Subpart F) Redesignated from 933.13--933.15
(Subpart E)................................................42542
933.26 (c) amended.................................................42549
933.27 (e) amended.................................................42549
933.28 (b) amended.................................................42549
933.29 Redesignated from 933.16 (Subpart F)........................42542
(a)(1) amended.................................................42549
933.30 Redesignated from 933.17 (Subpart G)........................42542
Introductory text, (a) and (b) amended.........................42549
933.31 Redesignated from 933.18 (Subpart H)........................42542
(d) amended....................................................42549
933.32 (Subpart J) Redesignated from 933.19 (Subpart I)............42542
934 Authority citation revised.....................................55880
934.6 Revised......................................................55880
935.6 (d) added....................................................52687
941 Authority citation revised.....................................43155
941.7 (f)(2) revised...............................................43155
950 Revised; interim...............................................59314
Chapter XIV
1401.1 Regulation at 60 FR 30778 confirmed..........................4349
1411 Added.........................................................55079
Chapter XV
1511 Revised.......................................................66875
Chapter XVII
1750 Added.........................................................35620
Chapter XVIII
1805.104 (n) revised; interim.......................................1701
1805.201 Amended; interim...........................................1701
1805.600 Amended; interim...........................................1701
Corrected.......................................................7690
1805.604 Added; interim.............................................1701
1805.701 (d)(2)(iii) revised; (e)(3) introductory text amended;
interim.....................................................1702
1806.103 (dd) added; interim........................................1702
(q) revised; interim...........................................59828
1806.200 (b)(2)(ii) revised; interim................................1702
1806.201 (b)(2) revised; (b)(4)(xii) and (xiii)(B) amended;
(b)(4)(xiv) added; interim..................................1702
1806.202 (a) revised; (b)(2) and (3) amended; (b)(4) and (d)
added; interim..............................................1702
Corrected.......................................................7690
(a) revised; interim...........................................59828
1806.205 (c)(1) revised; interim...................................59828
1806.206 (b)(1) and (4) revised; interim............................1702

1997

12 CFR
62 FR
Page
Chapter I
3 Appendix B amended; interim......................................68067
4 Authority citation revised........................................6452
4.6 Added; interim..................................................6452
8 Authority citation revised.......................................54745
8.2 (a)(6) and (b)(3) revised; (b)(4) added........................54745
(a)(7) and (b)(5) added........................................64137
8.6 Regulation at 59 FR 59642 confirmed............................54745
8.15 Removed.......................................................64137
12 Regulation at 60 FR 47458 confirmed.............................55458
13 Added...........................................................13283
19 Authority citation revised.......................................3199

[[Page 661]]

19.240--19.241 (Subpart O) Added....................................3200
25 Heading and authority citation revised..........................47734
25.11 (a)(1) revised...............................................47734
25.61--25.65 (Subpart E) Added.....................................47734
Chapter II
202.12 (b)(6) added; eff. 1-30-98..................................66419
202.15 Added; eff. 1-30-98.........................................66419
202 Supplement I added; eff. 1-30-98...............................66419
203.3 (a)(1)(ii) amended............................................3603
(a)(1)(ii) revised.............................................28623
203.5 (b) and (e) revised; (c) amended.............................28623
203 Appendix A and Supplement I amended.............................3604
Appendix A amended......................................28623, 28624
Supplement I amended....................................28626, 66260
Appendix A correctly amended...................................33340
204.3 (b) revised..................................................34616
(a), (b)(1), (2)(i) and (i) revised............................59778
204.9 Revised......................................................61622
205 Authority citation revised.....................................43469
205.15 (a) revised.................................................43469
207 OTC margin stock lists.....................3773, 22881, 40257, 55495
208 Authority citation revised........................6452, 13285, 47735
208.8 (k) removed...................................................9911
208.24 Added........................................................9911
208.25 Added.......................................................13285
208.26 Added; interim...............................................6452
208.28 Added.......................................................47735
208.129 Added......................................................13285
(b) corrected..................................................15601
208 Appendix E amended; interim.............................68067, 68068
209.15 Added.......................................................34616
210.2 (a) and (b) through (p), redesignated as (b) and (d) through
(r); new (a) and (c) added; new (d), new (g) introductory
text and (2) revised; eff. 1-2-98..........................48171
210.3(a) Amended; eff. 1-2-98......................................48171
210.4 Revised; eff. 1-2-98.........................................48171
210.5 (a)(1) and (c) revised; (d) amended; eff. 1-2-98.............48171
210.6 (a)(1) and (b) revised; eff. 1-2-98..........................48172
210.7 (c) introductory text and (d) revised; eff. 1-2-98...........48172
210.8 Revised; eff. 1-2-98.........................................48172
210.9 (a) through (e) redesignated as (b) through (f); new (a)
added; new (b) and new (c) revised; new (f) amended; eff.
1-2-98.....................................................48172
210.10 Revised; eff. 1-2-98........................................48173
210.11(b) Amended; eff. 1-2-98.....................................48173
210.12 (a), (b), (c)(1) (f) and (h) revised; (d), (g) and (i)
amended; eff. 1-2-98.......................................48173
211 Authority citation revised..............................13286, 47736
211.22(d) Added....................................................47736
211.24 Heading revised; (h) added..................................13286
213 Compliance date delay...................................51006, 53733
213.1(a) Revised...................................................15367
213.2(f) Amended...................................................15367
213.4 (b), (f)(1), (n), (o)(1) heading and (2) heading revised;
(t) added..................................................15367
213.5(d)(1) Revised................................................15367
213.7 (d)(1)(ii) and (2)(iv) removed; (d)(1)(iii), (2)(v) and (vi)
redesignated as (d)(1)(ii), (2)(iv) and (v); (b)(1),
(d)(1)(i), (2)(ii), (iii), new (iv) and new (v) revised....15367
213 Appendix A amended.............................................15369
Supplement I revised...........................................16058
215.2 (d) introductory text, (1), (2) and (3) redesignated as
(d)(1) introductory text, (i), (ii) and (iii); new (d)(2),
new (3) and (e)(3) added...................................13298
215.4(a)(2) Introductory text revised..............................13298
217.101(a)(1) Amended; (b) added...................................26737
220 OTC margin stock lists.....................3773, 22881, 40257, 55495
221 OTC margin stock lists.....................3773, 22881, 40257, 55495
224 OTC margin stock lists.....................3773, 22881, 40257, 55495
225.1--225.7 (Subpart A) Revised....................................9319
225.11--225.17 (Subpart B) Revised..................................9324
225.21--225.28 (Subpart C) Revised..................................9329
225.24 (d)(2) revised; (d)(3) and (4) redesignated as (d)(4) and
(5); new (d)(3) added......................................60640
225.25 (b)(1) revised..............................................60640
225.31 (d)(2)(ii) amended...........................................9338
225.32 Removed......................................................9338

[[Page 662]]

225.41--225.44 (Subpart E) Revised..................................9338
225.51 Removed......................................................9341
225.61--225.67 (Subpart G) Heading revised..........................9341
225.71--225.73 (Subpart H) Revised..................................9341
225.125 (f) and (g) revised.........................................9343
225.145 (a) amended.................................................9343
225.200 Undesignated center heading and section added..............45306
225 Appendix C revised..............................................9343
Appendix E heading revised; amended; interim...................68068
226.19 (b)(2)(viii) and (ix) revised; (b)(2)(x) removed;
(b)(2)(xi), (xii) and (xiii) redesignated as (b)(2)(x),
(xi) and (xii).............................................63443
226 Appendix H heading revised; amended............................63444
Appendix H corrected...........................................66179
Supplement I amended.......................10196-10199, 63445, 63446
229.2 (e) concluding text and (s) revised; (pp) redesignated as
(qq); new (pp) added.......................................13809
229.13 (g)(1) introductory text and (ii)(A) amended; (g)(1)(i)(B),
(E) and (h)(4) revised; (g)(1)(ii)(A) designation and (B)
removed; (g)(4) redesignated as (g)(5); new (g)(4) added
13809
229.16 (c)(2)(i)(B) revised........................................13810
229.19 (a)(1) revised; (a)(5)(ii) amended..........................13810
229.30 (c) revised.................................................13810
229.34 Heading and (c)(4) revised; (f) added.......................13810
229.36 Heading and (e)(1)(ii) revised; (c) amended.................13810
229.39 (b) revised.................................................13810
229.42 Revised.....................................................13810
229.43 Added.......................................................13810
229 Appendix C amended......................................13811, 48752
Appendix E amended...............................13816, 13817, 13818
Appendix A amended.............................................26221
261 Authority citation revised.....................................54359
Authority citation corrected...................................62508
261.1--261.3 (Subpart A) Revised; interim..........................54359
261.1 (a)(1) corrected.............................................62508
261.10--261-17 (Subpart B) Revised; interim........................54361
261.11 Redesignated as 261.20; interim.............................54359
261.12 Redesignated as 261.21; interim.............................54359
(b)(3), (c)(3) and (4) corrected...............................62508
261.13 Redesignated as 261.22; interim.............................54359
261.14 Redesignated as 261.23; interim.............................54359
261.15--261.17 (Subpart D) Removed; interim........................54359
261.17 (f)(4) corrected............................................62508
261.20 Redesignated from 261.11; interim...........................54359
261.21 Redesignated from 261.12; interim...........................54359
261.22 Redesignated from 261.13; interim...........................54359
(b)(1) introductory text, (2) and (d) corrected................62508
261.23 Redesignated from 261.14; interim...........................54359
265.4 (a)(4) added.................................................14792
265.5 (f) added....................................................34617
265.6 (a)(5) removed...............................................45150
265.7 (c)(6) added.................................................64996
271 Revised........................................................61218
Chapter III
303.0 (b)(12) revised..............................................16664
304.1 Amended.......................................................4896
304.2 Revised.......................................................4896
304.3 Revised.......................................................4896
304.4 Revised.......................................................4896
304.5 Revised.......................................................4897
304 Appendix A revised..............................................4897
Appendix B removed..............................................4899
325.3 Regulation at 60 FR 45609 confirmed; (e) removed.............55493
325 Regulation at 60 FR 45609 confirmed............................55493
Appendix A corrected; CFR correction...........................60161
Appendix C amended; interim....................................68068
327.8 Introductory text added; (f) and (g) revised.................27176
327.9 (b) revised..................................................27176
327.41--327.45 (Subpart C) Removed.................................27177
329.103 (a)(1) amended; (e) added..................................40732
335 Revised.........................................................6856
337 Authority citation revised......................................6453
337.12 Added; interim...............................................6453
338 Authority citation revised.....................................36204
338.1 Revised......................................................36204
338.3 (a)(1) and (2) revised.......................................36204

[[Page 663]]

338.4 Heading and (a) revised......................................36204
338.5--338.9 (Subpart B) Heading revised...........................36204
338.5 Revised......................................................36204
338.6 Revised......................................................36204
338.7 Revised......................................................36204
338.8 Revised......................................................36204
338.9 Introductory text revised....................................36204
338.5--338.9 (Subpart B) Appendixes A and B removed................36204
344 Revised.........................................................9919
350.3 Revised......................................................10200
350.4 Revised......................................................10200
350.5 Revised......................................................10200
350.6 Revised......................................................10200
350.12 Revised.....................................................10201
363.3 (b) revised..................................................63257
363.4 (a) and (b) revised..........................................63257
363 Appendix A amended......................................63258, 63259
368 Added..........................................................13287
369 Added..........................................................47737
Chapter V
502 Authority citation revised......................................3780
502.1 (f) revised...................................................3780
506.1 (b) table amended (OMB numbers).......................54764, 66261
Regulation at 62 FR 66261 eff. date corrected to 12-18-97......67117
516 Authority citation revised.....................................64143
516.1-516.3 (Subpart A) Existing sections designated as Subpart A
64143
516.2 (c)(6) removed...............................................64143
516.3 (a)(1)(i), (b)(1)(i) and (c) revised..........................3780
516.50--516.80 (Subpart B) Added...................................64143
516.100--516.150 (Subpart C) Added.................................64144
516.160--516.190 (Subpart D) Added.................................64144
543.2 (g)(1)(iv), (v) and (vi) amended; (g)(2) removed; (g)(3)
redesignated as (g)(2).....................................27180
(c) removed; (d)(1), (3), (4), (e), (f) and (h)(1) revised.....64145
543.3 Added........................................................27180
(c)(1)(v) corrected............................................28983
543.8 Heading and (a) revised......................................45309
543.9 (a) and (c) introductory text revised........................45309
544.5 (a) amended..................................................66262
Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117
545.10 Removed.....................................................54764
545.11 Removed.....................................................54764
545.12 Removed.....................................................54764
545.13 Removed.....................................................54764
545.14 Removed.....................................................54764
545.71 Removed.....................................................66262
Regulation at 62 FR 66261 eff. date corrected to 12-18-97......67117
545.92 (d), (e) heading, (2) and (f) revised; (i) and (j) removed
64145
545.95 (a) and (b)(1)(ii) revised..................................64146
545.102 Removed....................................................67703
550 Revised........................................................67703
552.2-1 (a) amended; (b)(2) removed................................27181
(a) revised....................................................64146
552.2-2 (a) revised................................................64146
552.4 (b)(4) amended...............................................66262
Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117
552.6-1 (c) amended................................................66262
Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117
552.10 Amended.....................................................66262
Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117
556.5 (c)(4) revised...............................................64146
556.12 Removed.....................................................54764
557 Added..........................................................54764
559.3 (g)(2) amended...............................................66262
Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117
560.3 Amended; introductory text revised...........................15825
560.93 (b)(6) removed; (d)(3)(ii) revised..........................66262
Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117
560.100 Amended....................................................66262
Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117
561.16 (a) amended.................................................54765
561.42 Amended.....................................................54765
561.45 Amended.....................................................66262
Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117
562.4 (b)(1) and (c)(2) revised.....................................3780
563 Authority citation revised......................................6453
563.2 Removed......................................................54765
563.3 Removed......................................................54765
563.6 Removed......................................................54765
563.7 Removed......................................................54765
563.9 Removed......................................................54765
563.10 Removed.....................................................54765
563.22 (e)(1), (4) and (f)(3) revised..............................64146
563.41 (e)(2)(ii)(A) revised........................................3781
(b)(11) amended................................................66262

[[Page 664]]

Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117
563.81 (d)(1)(vi) and (3) amended..................................66262
Regulation at 62 FR 66262 eff. date corrected to 12-18-97......67117
563.134 (a)(3) revised; (a)(7), (8) and (9) amended................66263
Regulation at 62 FR 66263 eff. date corrected to 12-18-97......67117
563.171 Added; interim..............................................6453
563e.11 (c) revised................................................67708
563g.1 (a)(13) amended.............................................54765
565.2 (f) amended..................................................66263
Regulation at 62 FR 66263 eff. date corrected to 12-18-97......67117
565.4 (b)(2)(iii)(B), (3)(iii)(B) and (c)(2) revised................3781
566.1 (d), (g)(2), (3), (4)(i)(A), (B), (8), (9) and (10) revised;
(g)(11)(i) amended; (g)(12) and (13) added; (h) removed....62512
566.2 Revised......................................................62513
567.1 Amended......................................................66263
Regulation at 62 FR 66263 eff. date corrected to 12-18-97......67117
567.2 (b) removed..................................................66263
Regulation at 62 FR 66263 eff. date corrected to 12-18-97......67117
567.5 (a)(1)(v), (2)(i), (v) and (c) revised; (a)(2)(vi) and
(b)(4) amended.............................................66263
Regulation at 62 FR 66263 eff. date corrected to 12-18-97......67117
567.6 Regulation at 60 FR 45621 confirmed..........................55493
(a)(1)(iii)(D) revised.........................................66264
Regulation at 62 FR 66264 eff. date corrected to 12-18-97......67117
567.9 (c)(1) and (4) amended; (c)(3) revised.......................66264
Regulation at 62 FR 66264 eff. date corrected to 12-18-97......67117
567.12 (a) revised; (b) amended....................................66264
Regulation at 62 FR 66264 eff. date corrected to 12-18-97......67117
571.6 Removed......................................................27181
571.15 Removed.....................................................67708
574.9 (a)(5)(i)(A) revised..........................................3781
575.9 (a)(4) amended...............................................66264
Regulation at 62 FR 66264 eff. date corrected to 12-18-97......67117
Chapter VI
600.5 Regulation at 61 FR 67185 eff. 3-4-97........................18037
602 Authority citation revised.....................................41253
602.260 Revised (effective date pending)...........................41254
Regulation at 62 FR 41254 eff. 10-2-97.........................51593
602.261 (a) and (d) revised; (e) added (effective date pending)....41254
Regulation at 62 FR 41254 eff. 10-2-97.........................51593
603.310 Regulation at 61 FR 67185 eff. 3-4-97......................18037
611.1030 Regulation at 61 FR 67185 eff. 3-4-97.....................18037
611.1135 (b)(1) corrected..........................................13213
Regulation at 61 FR 67185 eff. 3-4-97..........................18037
611.1140--611.1145 (Subpart J) Regulation at 61 FR 67186 eff. 3-4-
97.........................................................18037
611.1155--611.1158 (Subpart K) Regulation at 61 FR 67186 eff. 3-4-
97.........................................................18037
611.1160--611.1169 (Subpart L) Regulation at 61 FR 67186 eff. 3-4-
97.........................................................18037
611.1170--611.1176 (Subpart M) Regulation at 61 FR 67186 eff. 3-4-
97.........................................................18037
611.1180--611.1183 (Subpart N) Regulation at 61 FR 67186 eff. 3-4-
97.........................................................18037
611.1190--611.1198 (Subpart O) Regulation at 61 FR 67186 eff. 3-4-
97.........................................................18037
611.1200 Regulation at 61 FR 67186 eff. 3-4-97.....................18037
611.1250 Regulation at 61 FR 67186 eff. 3-4-97.....................18037
611.1255 Regulation at 61 FR 67186 eff. 3-4-97.....................18037
611.1266 Regulation at 61 FR 67186 eff. 3-4-97.....................18037
613 Authority citation revised......................................4441
613.3000--613.3030 (Subpart A) Revised (effective date pending).....4441
Regulation at 62 FR 4441 eff. 3-11-97..........................11071
613.3100--613.3200 (Subpart B) Revised (effective date pending).....4442
Regulation at 62 FR 4442 eff. 3-11-97..........................11071
613.3100 (b)(1)(iv) corrected......................................33746

[[Page 665]]

613.3110--613.3120 (Subpart D) Removed (effective date pending).....4441
Regulation at 62 FR 4441 eff. 3-11-97..........................11071
613.3145--613.3175 (Subpart E) Redesignated as 626 (effective date
pending)....................................................4441
Regulation at 62 FR 4441 eff. 3-11-97..........................11071
613.3200 Correctly designated......................................11071
613.3300 (Subpart C) Revised (effective date pending)...............4444
Regulation at 62 FR 4444 eff. 3-11-97..........................11071
614 Authority citation revised..............................63646, 66817
614.4000 (a) revised; (f) introductory text amended (effective
date pending)..............................................51013
Regulation at 62 FR 51013 eff. 11-5-97.........................59780
614.4010 (d)(4) and (5) amended; (d)(6) and (7) added (effective
date pending)...............................................4445
Regulation at 62 FR 4445 eff. 3-11-97..........................11071
(a) revised; (d)(1) and (2) amended (effective date pending)
51013
Regulation at 62 FR 51013 eff. 11-5-97.........................59780
614.4020 (a)(4) and (5) amended; (a)(6) and (7) added (effective
date pending)...............................................4445
Regulation at 62 FR 4445 eff. 3-11-97..........................11071
(a)(1) and (2) amended (effective date pending)................51013
Regulation at 62 FR 51013 eff. 11-5-97.........................59780
614.4030 (a) revised (effective date pending)......................51013
Regulation at 62 FR 51013 eff. 11-5-97.........................59780
614.4040 (a) revised; (b) removed; (c) and (d) redesignated as (b)
and (c); new (b)(1) amended (effective date pending).......51013
Regulation at 62 FR 51013 eff. 11-5-97.........................59780
614.4050 Introductory text added; (a) and (b) revised (effective
date pending)..............................................51013
Regulation at 62 FR 51013 eff. 11-5-97.........................59780
614.4120 (a) amended (effective date pending)......................51014
Regulation at 62 FR 51014 eff. 11-5-97.........................59780
614.4135 Removed (effective date pending)..........................51014
Regulation at 62 FR 51014 eff. 11-5-97.........................59780
614.4140 Removed (effective date pending)..........................51014
Regulation at 62 FR 51014 eff. 11-5-97.........................59780
614.4145 Removed (effective date pending)..........................51014
Regulation at 62 FR 51014 eff. 11-5-97.........................59780
614.4150 Revised (effective date pending)..........................51014
Regulation at 62 FR 51014 eff. 11-5-97.........................59780
614.4155 Redesignated from 614.4280 and revised (effective date
pending)...................................................66818
614.4160 Removed (effective date pending)..........................51014
Regulation at 62 FR 51014 eff. 11-5-97.........................59780
Redesignated from 614.4321 (effective date pending)............66818
614.4165 (a) revised; (b) and (c) removed; (d) and (e)
redesignated as (b) and (c) (effective date pending).......51014
Regulation at 62 FR 51014 eff. 11-5-97.........................59780
614.4170 Removed (effective date pending)..........................51014
Regulation at 62 FR 51014 eff. 11-5-97.........................59780
614.4200 Revised (effective date pending)..........................51014
Regulation at 62 FR 51014 eff. 11-5-97.........................59780
614.4210 Removed (effective date pending)..........................51015
Regulation at 62 FR 51015 eff. 11-5-97.........................59780
614.4220 Removed (effective date pending)..........................51015
Regulation at 62 FR 51015 eff. 11-5-97.........................59780
614.4222 Removed (effective date pending)..........................51015
Regulation at 62 FR 51015 eff. 11-5-97.........................59780

[[Page 666]]

614.4230 Removed (effective date pending)..........................51015
Regulation at 62 FR 51015 eff. 11-5-97.........................59780
614.4231 Revised (effective date pending)..........................51015
Regulation at 62 FR 51015 eff. 11-5-97.........................59780
614.4233 Introductory text revised (effective date pending).........4445
Regulation at 62 FR 4445 eff. 3-11-97..........................11071
614.4245 (d) added (effective date pending)........................51015
Regulation at 62 FR 51015 eff. 11-5-97.........................59780
614.4270--614.4320 (Subpart G) Removed (effective date pending)....66818
614.4280 Redesignated as 614.4155 (effective date pending).........66818
614.4321 Regulation at 61 FR 67186 eff. 3-4-97.....................18037
Redesignated as 614.4160 (effective date pending)..............66818
614.4325 (a)(1) revised; (e) amended; (h) added (effective date
pending)...................................................51015
Regulation at 62 FR 51015 eff. 11-5-97.........................59780
614.4335 Revised (effective date pending)..........................63646
614.4336 Revised (effective date pending)..........................63647
614.4355 (a)(6), (8) and (b)(1) amended (effective date pending)
51015
Regulation at 62 FR 51015 eff. 11-5-97.........................59780
614.4358 (a)(1)(ii) amended (effective date pending)...............51015
Regulation at 62 FR 51015 eff. 11-5-97.........................59780
614.4367 (b) removed; (c), (d) and (e) redesignated as (b), (c)
and (d); eff. 1-2-98.......................................63647
614.4440 Regulation at 61 FR 67187 eff. 3-4-97.....................18037
614.4444 Regulation at 61 FR 67187 eff. 3-4-97.....................18037
614.4510 Regulation at 61 FR 67187 eff. 3-4-97.....................18037
614.4515 Regulation at 61 FR 67187 eff. 3-4-97.....................18037
614.4516 Regulation at 61 FR 67187 eff. 3-4-97.....................18037
Introductory text amended......................................25831
614.4517 Regulation at 61 FR 67187 eff. 3-4-97.....................18037
614.4520 Regulation at 61 FR 67187 eff. 3-4-97.....................18037
614.4525 Regulation at 61 FR 67187 eff. 3-4-97.....................18037
614.4610 Amended (effective date pending)...........................4445
Regulation at 62 FR 4445 eff. 3-11-97..........................11071
614.4700--614.4900 (Subpart Q) Heading amended (effective date
pending)....................................................4445
Regulation at 62 FR 4445 eff. 3-11-97..........................11071
614.4700 (a) introductory text, (b) and (h) amended (effective
date pending)...............................................4445
Regulation at 62 FR 4445 eff. 3-11-97..........................11071
614.4710 Introductory text, (a)(1) introductory text, (i), (ii),
(3), (5), (b)(1) and (c) amended (effective date pending)
4445
Regulation at 62 FR 4445 eff. 3-11-97..........................11071
614.4720 Introductory text amended (effective date pending).........4445
Regulation at 62 FR 4445 eff. 3-11-97..........................11071
614.4800 Amended (effective date pending)...........................4445
Regulation at 62 FR 4445 eff. 3-11-97..........................11071
614.4810 (a) introductory text and (b) amended (effective date
pending)....................................................4445
Regulation at 62 FR 4445 eff. 3-11-97..........................11071
(b) amended (effective date pending)...........................51015
Regulation at 62 FR 51015 eff. 11-5-97.........................59780
614.4900 (a) through (d) and (i) amended (effective date pending)
4445
Regulation at 62 FR 4445 eff. 3-11-97..........................11071
615 Authority citation revised......................................4445
615.5120 Regulation at 61 FR 67187 eff. 3-4-97.....................18037
615.5140 Regulation at 61 FR 67187 eff. 3-4-97.....................18037

[[Page 667]]

615.5143 Regulation at 61 FR 67187 eff. 3-4-97.....................18037
615.5200 (a) and (b) introductory text revised (effective date
pending)....................................................4446
Regulation at 62 FR 4446 eff. 3-11-97..........................11071
615.5201 (g) amended; (j)(5) and (6) redesignated as (j)(6) and
(7); new (j)(5) added (effective date pending)..............4446
Regulation at 62 FR 4446 eff. 3-11-97..........................11071
615.5205 Revised (effective date pending)...........................4446
Regulation at 62 FR 4446 eff. 3-11-97..........................11071
615.5210 (e)(7) and (f)(2)(i)(C) revised; (e)(10) added;
(f)(2)(i)(D) and (v)(D) removed; (f)(2)(v)(E) redesignated
as (f)(2)(v)(D) (effective date pending)....................4446
Regulation at 62 FR 4446 eff. 3-11-97..........................11071
615.5216 Removed (effective date pending)...........................4446
Regulation at 62 FR 4446 eff. 3-11-97..........................11071
615.5220 (f) removed; (g), (h) and (i) redesignated as (f), (g)
and (h); (d), (e) and new (f) amended (effective date
pending)....................................................4446
Regulation at 62 FR 4446 eff. 3-11-97..........................11071
615.5230 (b)(1) amended (effective date pending)....................4446
Regulation at 62 FR 4446 eff. 3-11-97..........................11071
(a)(2)(ii) revised.............................................49908
Regulation at 62 FR 49908 eff. 10-30-97........................58644
615.5240 (b) removed; introductory text and (a) redesignated as
(a) and (b); new (a) and new (b)(2) revised; (b)(3) and
(c) added (effective date pending)..........................4446
Regulation at 62 FR 4446 eff. 3-11-97..........................11071
615.5250 (c) removed; (d) and (e) redesignated as (c) and (d);
(a)(4)(ii), (iii) and new (c)(3) amended (effective date
pending)....................................................4447
Regulation at 62 FR 4447 eff. 3-11-97..........................11071
Regulation at 61 FR 67187 eff. 3-4-97..........................18037
615.5260 (a)(2)(i) and (ii) amended; (a)(2)(iii) and (d) removed
(effective date pending)....................................4447
Regulation at 62 FR 4447 eff. 3-11-97..........................11071
615.5270 Amended (effective date pending)...........................4447
Regulation at 62 FR 4447 eff. 3-11-97..........................11071
615.5280 (a) corrected.............................................13213
Regulation at 61 FR 67187 eff. 3-4-97..........................18037
615.5290 Regulation at 61 FR 67188 eff. 3-4-97.....................18037
615.5301--615.5336 (Subpart K) Revised (effective date pending).....4447
Regulation at 62 FR 4447 eff. 3-11-97..........................11071
615.5301 (b)(2) corrected..........................................19219
615.5330 (b)(1) corrected..........................................11071
615.5350--615.5354 (Subpart L) Added (effective date pending).......4448
Regulation at 62 FR 4448 eff. 3-11-97..........................11071
615.5355--615.5361 (Subpart M) Added (effective date pending).......4449
Regulation at 62 FR 4449 eff. 3-11-97..........................11071
615.5450 (h) revised...............................................53229
615.5451 (c) revised...............................................53229
615.5452 Heading, (a)(1) introductory text and (2) revised.........53229
615.5454 (c)(1) revised............................................53229
615.5455 (a) revised...............................................53229
615.5457 (c)and (d) revised........................................53230
615.5460 (c) added.................................................53230
617 Revised (effective date pending)...............................24566
Regulation at 62 FR 24566 eff. 6-13-97.........................32478
618.8005 (a) and (b) amended (effective date pending)...............4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
618.8260 Regulation at 61 FR 67188 eff. 3-4-97.....................18037
618.8310 Regulation at 61 FR 67188 eff. 3-4-97.....................18037
618.8320 Regulation at 61 FR 67188 eff. 3-4-97.....................18037
(b)(5) revised.................................................25831

[[Page 668]]

618.8325 Regulation at 61 FR 67188 eff. 3-4-97.....................18037
618.8330 Regulation at 61 FR 67188 eff. 3-4-97.....................18037
618.8340 Regulation at 61 FR 67188 eff. 3-4-97.....................18037
618.8360 Regulation at 61 FR 67188 eff. 3-4-97.....................18037
618.8370 Regulation at 61 FR 67188 eff. 3-4-97.....................18037
618.8380--618.8420 (Subpart I) Regulation at 61 FR 67188 eff. 3-4-
97.........................................................18037
618.8440 (b)(6) amended (effective date pending)....................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9030 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9040 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9060 Regulation at 61 FR 67188 eff. 3-4-97.....................18037
619.9065 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9080 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9090 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9100 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9120 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9150 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9160 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9165 Removed (effective date pending)..........................51015
Regulation at 62 FR 51015 eff. 11-5-97.........................59780
619.9190 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9220 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9270 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9280 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9290 Removed (effective date pending)..........................51015
Regulation at 62 FR 51015 eff. 11-5-97.........................59780
619.9300 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
619.9310 Removed (effective date pending)...........................4450
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
620.1 (o), (p) and (q) redesignated as (p), (q) and (r); new (o)
added (effective date pending).............................15092
Regulation at 62 FR 15092 eff. 5-6-97..........................24809
620.2 (a), (b)(3)(i) and (f) through (i) revised (effective date
pending)...................................................15092
Regulation at 62 FR 15092 eff. 5-6-97..........................24809
620.4 (b) revised (effective date pending).........................15093
Regulation at 62 FR 15093 eff. 5-6-97..........................24809
620.5 (d)(1)(ix) and (g)(4)(ii) revised (effective date pending)
4451
Regulation at 62 FR 4450 eff. 3-11-97..........................11071
(g)(2)(vi) revised (effective date pending)....................15093
Regulation at 62 FR 15093 eff. 5-6-97..........................24809

[[Page 669]]

620.10--620.11 (Subpart C) Heading revised (effective date
pending)...................................................15093
Regulation at 62 FR 15093 eff. 5-6-97..........................24809
620.10 Revised (effective date pending)............................15093
Regulation at 62 FR 15093 eff. 5-6-97..........................24809
620.15--620.17 (Subpart D) Added (effective date pending)..........15093
Regulation at 62 FR 15093 eff. 5-6-97..........................24809
620.20--620.21 (Subpart D) Redesignated as 620.20--620.21 (Subpart
E) (effective date pending)................................15093
Regulation at 62 FR 15093 eff. 5-6-97..........................24809
620.20 (c) removed; (b) revised (effective date pending)...........15094
Regulation at 62 FR 15094 eff. 5-6-97..........................24809
620.30--620.31 (Subpart E) Redesignated as 620.30--620.31 (Subpart
F) (effective date pending)................................15093
Regulation at 62 FR 15093 eff. 5-6-97..........................24809
620.40 (Subpart F) Redesignated as 620.40 (Subpart G) (effective
date pending)..............................................15093
Regulation at 62 FR 15093 eff. 5-6-97..........................24809
626 Redesignated from 613.3145--613.3175 (Subpart E) (effective
date pending)...............................................4441
Authority citation added........................................4451
Regulation at 62 FR 4441 eff. 3-11-97..........................11071
626.6025 (b) amended (effective date pending).......................4451
Regulation at 62 FR 4451 eff. 3-11-97..........................11071
630 Authority citation revised.....................................15094
630.3 (f) and (g) redesignated as (g) and (h); new (f) added
(effective date pending)...................................15094
Regulation at 62 FR 15094 eff. 5-6-97..........................24809
650 Authority citation revised.....................................43635
650.50--650.68 (Subpart C) Added (effective date pending)..........43636
Regulation at 62 FR 43636 eff. 10-1-97.........................51369
Chapter VII
Chapter VII Interpretive rulings...................................50245
701 Authority citation revised.....................................40930
701.1 Revised.......................................................5316
701.21 (c)(7)(ii)(C) revised.......................................40930
703 Revised........................................................33001
703.50 (a) amended; (c) added......................................64147
703.60 (c) revised.................................................64147
703.80 (a) introductory text amended...............................64147
703.100 (k)(2) amended.............................................64148
703.150 Amended....................................................64148
704 Revised........................................................12938
Compliance date delayed........................................64148
709.5 (b)(7) and (8) revised; (b)(9) added.........................12949
725.19 Revised; eff. 1-28-98.......................................67550
741.219 Added......................................................12949
790 Authority citation revised.....................................65197
790.2 (b)(4) revised................................................8155
(a) revised....................................................37126
(b)(7) and (8) amended.........................................65197
791.4 (a)(2) introductory text, (b) introductory text and (3)
revised....................................................64267
791.5 (a)(2) revised...............................................64267
791.6 (a) revised..................................................64267
792 Authority citation revised...............................8156, 56054
792.2 (f) revised...................................................8156
792.4 (a) revised; (b)(3) removed..................................56054
792.40--792.49 (Subpart C) Revised.................................56054
Chapter IX
902 Authority citation revised.....................................35949
902.2 Revised......................................................35949
931 Authority citation revised.....................................26922
931.5 Revised; interim..............................................6861
Redesignated as 934.4..........................................26922
932 Authority citation revised.........................................9
932.40 Revised.........................................................9
932.41 Revised.........................................................9
934 Authority citation revised..............................26922, 65198
934.4 Redesignated as 934.5; new 934.4 redesignated from 931.5 and
revised....................................................26922
934.5 Redesignated as 934.6; new 934.5 redesignated from 934.4.....26922
934.6 Redesignated as 934.7; new 934.6 redesignated from 934.5.....26922

[[Page 670]]

934.7 Redesignated as 934.8; new 934.7 redesignated from 934.6.....26922
934.8 Redesignated as 934.9; new 934.8 redesignated from 934.7.....26922
934.9 Redesignated as 934.10; new 934.9 redesignated from 934.8....26922
934.10 Redesignated as 934.11; new 934.10 redesignated from 934.9
26922
934.11 Redesignated as 934.12; new 934.11 redesignated from 934.10
26922
934.12 Redesignated as 934.13; new 934.12 redesignated from 934.11
26922
934.13 Redesignated as 934.14; new 934.13 redesignated from 934.12
26922
934.14 Redesignated as 934.15; new 934.14 redesignated from 934.13
26922
934.15 Redesignated from 934.14....................................26922
934.16 Added; eff. 1-12-98.........................................65198
935 Authority citation revised.....................................12079
935.1 Amended; interim.......................................8871, 12079
935.13 (a)(3) revised; interim......................................8871
(a)(3) revised; OMB number.....................................52015
935.20--935.24 (Subpart B) Revised.................................12079
936 Revised........................................................28988
936.5 (d)(1)(i) revised............................................46872
950 Regulation at 61 FR 59314 confirmed; revised...................50248
960 Revised........................................................41828
Interpretation.................................................66977
Chapter XIV
1402 Authority citation revised....................................49593
1402.13 Revised....................................................49593
1402.14 (a) and (d) revised; (e) added.............................49593
Chapter XVII
1780 Added.........................................................68154
Chapter XVIII
1805 Revised; interim..............................................16447
1806 Revised; interim.......................................10672, 64442

1998

12 CFR
63 FR
Page
Chapter I
3 Technical correction.............................................48571
3.100 (c)(2) revised; (e)(7) and (g)(2) amended....................42674
3 Appendix A amended........................................42674, 46521
4 Authority citation revised................................46120, 62929
4.6 Revised........................................................16380
Heading revised................................................46120
4.7 Added..........................................................46120
4.31 (a)(1) and (b)(1) revised; interim............................62929
4.32 (b)(1)(v) amended; (e) redesignated as (f); (b)(1)(vii) and
new (e) added; interim.....................................62929
4.36 Redesignated as 4.37; new 4.36 added; interim.................62929
4.37 Redesignated as 4.38; new 4.37 redesignated from 4.36; new
(a) revised................................................62929
4.38 Redesignated as 4.39; new 4.38 redesignated from 4.37.........62929
4.39 Redesignated as 4.40; new 4.39 redesignated from 4.38.........62929
4.40 Redesignated from 4.39........................................62929
6.2 (g) revised....................................................42674
9.101 Added.........................................................6473
10 Revised.........................................................29094
10.2 (c) corrected.................................................35309
(a) corrected..................................................71343
28.51 (e) and (f) removed; (g) and (h) redesignated as (e) and (f)
57048
28.53 Revised......................................................57048
30.2 Amended; interim..............................................55488
30.3 (a) revised; interim..........................................55488
30 Appendix B added; interim................................55484, 55485
32.2 (b) revised...................................................15746
32.3 (c)(4)(ii)(B) and (6)(ii)(B) amended..........................15746
32.4 Revised.......................................................15746
Chapter II
201.51 Revised..............................................56786, 66001
202 Appendixes A and C amended.....................................16394
203 Supplement I amended...........................................70997
203.1(a) Amended...................................................52142
203.3(a)(1)(ii) and (2)(ii) revised................................52142
203 Appendix A amended.......................................52143--
52146
204.2(p) Removed...................................................64841
204.3(c) Revised...................................................15071
204.9 Revised......................................................65662
205.4(c) Added;interim.............................................14532

[[Page 671]]

205.11(c)(3) Revised...............................................52118
205 Appendix A amended.............................................52118
207 Removed.........................................................2820
OTC margin stock lists..........................................3804
208 Authority citation revised..............................37637, 46522
Technical correction...........................................48571
208.1--208.7 (Subpart A) Revised...................................37637
208.3 (c)(1)(ii) and (d)(1) Amended................................58620
208.6 (c)(1)(ii) Amended...........................................58621
208.20--208.25 (Subpart B) Revised.................................37641
208.26 Revised.....................................................16380
208.30--208.37 (Subpart C) Revised.................................37646
208.40--208.45 (Subpart D) Revised.................................37652
208.41(f) Revised..................................................42674
208.50--208.51 (Subpart E) Revised.................................37655
208.60--208.64 (Subpart F) Added...................................37655
208.100--208.101 (Subpart G) Added.................................37658
208 Appendixes A and B amended.....................................42675
Appendix A amended.............................................46522
Appendix D redesignated as D-1.................................55486
Appendix D-2 added; interim.............................55484, 55486
Appendix A, B and C amended....................................58621
209 Revised........................................................37663
211.2(u)(1) Amended................................................58621
211.8 Amended......................................................58621
211.22(d) Amended..................................................58621
211.24(f) and (h)Amended...........................................58621
211.26(c)Revised...................................................46121
213 Authority citation revised.....................................52109
213.4(f)(8) Revised................................................52109
213.7(d)(1)(ii) Revised............................................52109
213 Appendix A amended.............................................52110
Supplement I amended...........................................52115
215.3(a)(3) Amended................................................58621
216 Removed........................................................37665
220 OTC margin stock lists.....................3804, 23195, 40012, 57237
220.1 Revised.......................................................2820
220.2 Revised.......................................................2821
220.3 Revised.......................................................2822
220.4 Revised.......................................................2823
220.5 Revised.......................................................2824
220.6 Revised.......................................................2824
220.7 Revised.......................................................2824
220.8 Revised.......................................................2825
220.9 Revised.......................................................2826
220.10 Revised......................................................2826
220.11 Revised......................................................2826
220.12 Revised......................................................2827
220.13 Removed......................................................2827
220.14 Removed......................................................2827
220.15 Removed......................................................2827
220.16 Removed......................................................2827
220.17 Removed......................................................2827
220.18 Removed......................................................2827
220.126 Removed.....................................................2827
221 Revised.........................................................2827
OTC margin stock lists..........................................3804
224 Authority citation revised......................................2839
OTC margin stock lists.....................3804, 23195, 40012, 57237
224.1 (a) and (b)(1) amended........................................2839
224.2 Introductory text amended.....................................2839
224.3 Revised.......................................................2839
225 Authority citation revised..............................30370, 46522
Technical correction...........................................48571
225.4 (d) and (f) amended..........................................58621
(d) corrected..................................................65281
225.63 (a)(11) amended; (a)(12) redesignated as (a)(13); new
(a)(12) added..............................................65532
225.200 (b)(4)(i) revised..........................................14804
225 Appendix D amended.............................................30370
Appendixes A and D amended.....................................42676
Appendix A amended......................................46522, 58621
226 Dollar amount adjustment notice..........................6474, 67575
226 Appendix H corrected............................................2723
Supplement I amended.....................................16674--
16678
Supplement I corrected.........................................33990
230.4 (b)(6)(iii) amended..........................................40637
230.5 (c) removed; (d) redesignated as (c).........................52107
230.8 (c)(6)(iii) revised..........................................40638
(e)(2)(i) revised..............................................52107
230.9 (b) revised..................................................52107
230 Supplement I amended...........................................52107
230 Appendix A amended.............................................40638
250.120 Removed....................................................37659
250.121 Removed....................................................37659
250.122 Removed....................................................37659
250.123 Removed....................................................37659
250.140 Removed....................................................37659
250.161 Removed....................................................37659
250.162 Removed....................................................37659
250.300--250.302 Undesignated center heading and sections removed
37659

[[Page 672]]

262.3 (b)(1)(i)(A) and (C) removed; (b)(1)(i)(B), (D) and (E)
redesignated as (b)(1)(i)(A), (B) and (C)..................58621
263.201 (a)amended.................................................58621
263.203 (a)(1)(i)(A) amended.......................................58621
263.205 (b)(2) amended.............................................58621
263.302 (a) revised; interim.......................................55488
265.7 (f)(6)(i) and (ii) amended...................................58621
265.9 (a) introductory text, (1), (c)(1), (4) and (5) revised;
(a)(8) and (d) through (g) added...........................65044
265.11 (f) revised..................................................2839
(a)(7) amended.................................................58621
(e)(1), (3), (4) introductory text, (5) introductory text, (7)
and (12) revised; (e)(8) amended...................................58622
Chapter III
Chapter III Policy statement.......................................25157
303 Revised........................................................44713
Authority citation revised.....................................66324
303.2 (a) introductory text amended................................17074
303.5 (d) removed..................................................17074
303.6 (f)(1)(ii)(A) and (C) revised................................17074
303.7 (a) heading, (1)(i), (ii)(A), (iii)(D) and (b)(4)(ii)
revised; (f)(2)(i) amended; (f)(2)(ii) removed.............17074
303.8 (f) removed..................................................17074
303.120--303.123 (Subpart G) Added.................................66325
303.140--303.143 (Subpart H) Revised...............................66325
309.1 Revised......................................................16404
309.2 (e) revised..................................................16404
309.4 Revised......................................................16404
309.5 Revised......................................................16404
309.6 Amended......................................................16408
325 Authority citation revised.....................................42677
Technical correction...........................................48571
325.2 (n) revised; (s), (t) and (v) amended........................42677
325.5 (f) revised; (g)(2)(i)(B) and (5) amended....................42677
325.103 (c) revised................................................17074
325 Appendix A amended......................................42677, 46523
Appendix B amended.............................................42678
326.1 (c) amended..................................................17075
326.8 (a) and Footnote 3 revised...................................17075
327 Authority citation revised.....................................17075
327.1 (b)(2) revised...............................................17075
327.4 (a)(1)(i)(B)(1), (2), (ii)(B)(1) and (2) revised.............17075
329.3 Added.........................................................8342
330 Revised........................................................25756
333.4 (a), (d)(2) and (3) amended; (b) and (d)(4) removed; (c)
through (f) redesignated as (b) through (e)................44750
337 Authority citation revised.....................................44750
337.4 (i) added....................................................66326
337.6 (a)(5)(iii) revised; (c) amended; (d), (e) and (f) removed;
(g) and (h) redesignated as (d) and (e)....................44750
337.12 Revised.....................................................16381
341.7 Added........................................................44750
346 Removed........................................................17075
347 Revised........................................................17075
347.214 Added......................................................46121
347.401--347.405 (Subpart D) Removed...............................44751
351 Removed........................................................17090
357 Authority citation revised.....................................10295
357.1 (b) revised..................................................10295
359.6 Revised......................................................44751
360.1 (b) revised..................................................37761
360.2 (e) revised..................................................37761
362 Revised........................................................66326
362.4 (c)(3)(i)(A) revised.........................................17090
364.101 Revised; interim...........................................55488
364 Appendix B added; interim...............................55484, 55486
Chapter V
502 Revised........................................................65670
506.1 (b) revised (OMB numbers)....................................71211
528.1 (a) amended..................................................71212
528.1a Revised.....................................................71212
528.2 Note revised.................................................71212
528.2a Note revised................................................71212
528.3 Note revised.................................................71212
528.9 Redesignated from 571.24.....................................71212
544.2 (b)(4) amended...............................................46160
545.92 (a) revised.................................................65682
545.138 Removed....................................................65682
545.141 Removed....................................................65682
545.142 Removed....................................................65682
555 Added..........................................................65682
557.11 Heading and (a) introductory text revised...................71212
559.3 (o)(2) revised...............................................65683
560.210 (b)(2) introductory text, (viii) and (ix) revised;
(b)(2)(x) removed; (b)(2)(xi), (xii) and (xiii)
redesignated as (b)(2)(x), (xi) and (xii); interim..........1053
Revised........................................................38463
563 Authority citation revised.....................................51274

[[Page 673]]

563.41 (a)(3) revised..............................................43293
563.171 Revised....................................................16381
563.172 Added......................................................66349
563.173 Removed....................................................66349
563.174 Removed....................................................66349
563.175 Removed....................................................66349
563.550--563.590 (Subpart H) Added.................................51274
563f.2 (l)(1)(iii) revised.........................................51275
563f.5 (b)(2)(i) and (ii) revised..................................51275
563f.6 (b)(1) and (2) revised......................................51275
565.2 (f) revised..................................................42678
566.1 (d) amended..................................................71213
567 Technical correction...........................................48571
567.1 Amended......................................................42678
567.5 (a)(2)(ii) revised...........................................42678
(b)(5) added...................................................46524
567.6 (a)(1)(iv)(L) and (M) revised................................42678
567.9 (c)(1) revised...............................................42678
567.12 Heading and (a) through (f) revised.........................42678
570.1 (a) and (c) revised; (b) amended; interim....................55488
570.2 (a) revised; interim.........................................55489
570 Appendix B added; interim...............................55484, 55486
571 Removed........................................................71213
571.24 Redesignated as 528.9.......................................71212
574 Authority citation revised.....................................51275
574.9 Removed......................................................51275
574.100 Amended....................................................71213
575.2 (h) and (o) revised; (q) added...............................11365
575.6 (c) through (i) redesignated as (d) through (j); new (c)
added......................................................11365
575.10 (a)(2) introductory text, (3), (4) and (b)(1) amended;
(a)(6)(i)(B) revised.......................................11365
575.11 (b)(1) introductory text (2), (c) introductory text, (1),
(3) and (e) revised; (b)(1)(ii) redesignated as
(b)(1)(iii); new (b)(1)(ii) added..........................11365
575.12 (a)(2), (b)(1)(ii), (iii) and (2) revised...................11366
575.14 Added.......................................................11366
584.2 (b)(6)(i) revised............................................71213
584.2-1 (a) and (b)(1)(v) amended..................................71213
584.2-2 (a) amended................................................71213
ChapterVI
607 Authority citation revised.....................................34268
607.2 (c) revised (effective date pending).........................34268
607.3 (b)(2) amended (effective date pending)......................34268
Regulation at 63 FR 34268 eff. 8-3-98..........................41184
611 Authority citation revised.....................................64843
611.310--611.340 (Subpart C) Heading revised (effective date
pending)...................................................64843
611.330 Revised (effective date pending)...........................64843
611.340 Heading, (a) and (b) amended; (c) and (d) revised
(effective date pending)...................................64843
611.350 Added (effective date pending).............................39225
Regulation at 63 FR 39225 eff. 9-14-98.........................49265
611.505 (e) revised................................................64844
611.1122 (k) revised...............................................64844
611.1135 (b)(4) and (c) revised (effective date pending)...........39225
Regulation at 63 FR 39225 eff. 9-14-98.........................49265
611.1205 (c) revised (effective date pending)......................36547
Regulation at 63 FR 36547 eff. 8-6-98..........................41958
614.4000 (b) amended (effective date pending).......................5723
Regulation at 63 FR 5723 eff. 3-13-98..........................12401
614.4010 (b) amended (effective date pending).......................5723
Regulation at 63 FR 5723 eff. 3-13-98..........................12401
614.4120 Revised (effective date pending)...........................5724
Regulation at 63 FR 5724 eff. 3-13-98..........................12401
614.4125 Added (effective date pending).............................5724
Regulation at 63 FR 5724 eff. 3-13-98..........................12401
614.4130 Revised (effective date pending)...........................5724
Regulation at 63 FR 5724 eff. 3-13-98..........................12401
614.4155 Regulation at 62 FR 66818 eff. 3-4-98.....................10515
614.4160 Regulation at 62 FR 66818 eff. 3-4-98.....................10515
614.4280 Regulation at 62 FR 66818 eff. 3-4-98.....................10515
614.4270--614.4320 (Subpart G) Regulation at 62 FR 66818 eff. 3-4-
98.........................................................10515

[[Page 674]]

614.4321 Regulation at 62 FR 66818 eff. 3-4-98.....................10515
614.4335 Regulation at 62 FR 63646 eff. 3-4-98.....................10515
614.4336 Regulation at 62 FR 63647 eff. 3-4-98.....................10515
614.4350 (a) revised (effective date pending)......................36547
Regulation at 63 FR 36547 eff. 8-6-98..........................41958
614.4367 Regulation at 62 FR 63647 eff. 3-4-98.....................10515
614.4540--614.4600 (Subpart P) Revised (effective date pending)....36547
Regulation at 63 FR 36547 eff. 8-6-98..........................41958
615.5135 Introductory text amended (effective date pending)........39225
Regulation at 63 FR 39225 eff. 9-14-98.........................49265
615.5180--615.5182 (Subpart G) Added (effective date pending)......39225
Regulation at 63 FR 39225 eff. 9-14-98.........................49265
615.5201 (h) amended; (d) through (n) redesignated as (e) through
(i), (k), (l) and (n) through (q); new (d), new (j) and
new (m) added (effective date pending).....................39225
Regulation at 63 FR 39225 eff. 9-14-98.........................49265
615.5210 (a), (b), (e) introductory text, (1), (6), (10),
(f)(2)(i), (ii), (iii) heading, (iv), (3)(ii)(A) and (iii)
revised; (e)(11) added; (f)(2)(v) removed (effective date
pending)...................................................39226
Regulation at 63 FR 39226 eff. 9-14-98.........................49265
(f)(3)(ii)(C)(2) corrected.....................................58289
615.5220 Introductory text and (a) through (h) redesignated as (a)
introductory text and (1) through (8); new (b) added
(effective date pending)...................................39227
Regulation at 63 FR 39227 eff. 9-14-98.........................49265
615.5230 (b)(5) added (effective date pending).....................39228
Regulation at 63 FR 39228 eff. 9-14-98.........................49265
615.5260 (a)(3)(ii) revised (effective date pending)...............39228
Regulation at 63 FR 39228 eff. 9-14-98.........................49265
615.5301 (a), (b)(1)(ii), (iii), (2)(ii), (3), (4), (5), (i)(2),
(3), (4) and (7) revised (effective date pending)..........39228
Regulation at 63 FR 39228 eff. 9-14-98.........................49265
615.5330 Revised (effective date pending)..........................39228
Regulation at 63 FR 39228 eff. 9-14-98.........................49265
615.5335 Revised (effective date pending)..........................39229
Regulation at 63 FR 39229 eff. 9-14-98.........................49265
615.5350 (b)(7) added (effective date pending).....................39229
Regulation at 63 FR 39229 eff. 9-14-98.........................49265
615.5355 (a)(4) revised (effective date pending)...................39229
Regulation at 63 FR 39229 eff. 9-14-98.........................49265
615.5450 Regulation at 62 FR 53229 eff. 1-27-98.....................5223
615.5451 Regulation at 62 FR 53229 eff. 1-27-98.....................5223
615.5452 Regulation at 62 FR 53229 eff. 1-27-98.....................5223
615.5454 Regulation at 62 FR 53229 eff. 1-27-98.....................5223
615.5455 Regulation at 62 FR 53229 eff. 1-27-98.....................5223
615.5457 Regulation at 62 FR 53230 eff. 1-27-98.....................5223
615.5460 Regulation at 62 FR 53230 eff. 1-27-98.....................5223
620.1 (j) amended (effective date pending).........................39229
Regulation at 63 FR 39229 eff. 9-14-98.........................49265
620.5 Amended (effective date pending).............................36549
(d)(2), (g)(4)(v) and (vi) amended; (f)(3) revised; (f)(4)
added (effective date pending).....................................39229
Regulation at 63 FR 36549 eff. 8-6-98..........................41958
Regulation at 63 FR 39229 eff. 9-14-98.........................49265
627 Heading revised (effective date pending)........................5724
Authority citation revised......................................5724

[[Page 675]]

Regulation at 63 FR 5724 eff. 3-13-98..........................12401
627.2700 Revised (effective date pending)...........................5724
Regulation at 63 FR 5724 eff. 3-13-98..........................12401
627.2710 (b)(1) and (3) revised (effective date pending)...........39229
Regulation at 63 FR 39229 eff. 9-14-98.........................49265
627.2720 (a) removed; (b) through (f) redesignated as (a) through
(e); new (b) revised (effective date pending)...............5724
Regulation at 63 FR 5724 eff. 3-13-98..........................12401
627.2730 (b) removed; (c) redesignated as (b); new (b) revised
(effective date pending)....................................5724
Regulation at 63 FR 5724 eff. 3-13-98..........................12401
627.2795--627.2797 (Subpart D) Added (effective date pending).......5725
Regulation at 63 FR 5725 eff. 3-13-98..........................12401
630.20 (a)(1)(v) amended (effective date pending)..................36549
Regulation at 63 FR 36549 eff. 8-6-98..........................41958
Chapter VII
Interpretive rulings...............................................24099
701 Comment period extension.......................................65532
701.1 Revised................................................4373, 72018
701.19 (a) amended; interim........................................14026
(a) amended....................................................52147
701.21 (c)(5) amended; (h) removed; interim........................51799
(g)(7) added; eff. 1-25-99.....................................71214
701.23 (b)(1)(iv) amended; (b)(3) revised..........................70998
701.26 (a) designation and (b) removed.............................10756
701.27 Removed.....................................................10756
701.29 (g)(7) added; eff. 1-25-99..................................71214
701.36 (b)(4)(iv) amended..........................................10756
(b)(4)(iv) corrected...........................................71342
703.30 (g) removed; (h) through (l) redesignated as (g) through
(k)........................................................24104
703.50 Regulation at 62 FR 64147 confirmed.........................24104
(b)(2) revised.................................................24105
703.60 Regulation at 62 FR 64147 confirmed.........................24104
703.80 Regulation at 62 FR 64147 confirmed.........................24104
703.100 Regulation at 62 FR 64148 confirmed........................24104
(e) revised....................................................24105
703.130 Revised....................................................24105
703.150 Regulation at 62 FR 64148 confirmed........................24104
704.5 (c)(6) revised...............................................24105
704.11 (e) amended.................................................10756
704 Appendix B amended.............................................24105
707.4 (b)(6)(iii) amended..........................................71574
707.5 (c) removed; (d) designated as new (c).......................71574
707.8 (c)(6)(iii) added; (e)(2)(i) revised.........................71575
707.9 (b) revised..................................................71575
707 Appendix A amended.............................................71575
Appendix B amended.............................................71575
Appendix C amended.............................................71575
708a Heading and authority citation revised........................10517
Revised; interim...............................................65532
708a Appendix A amended............................................10517
708b.301 (a)(1) and (b)(1) amended.................................10519
708b.302 (a)(1), (2), (b)(1) and (2) amended.......................10519
712 Added..........................................................10756
722 Comment period extension.......................................65532
722.3 (a)(7) and (8)(ii) amended; (a)(9) added; interim............51799
723 Added; interim.................................................51799
Comment period extension.......................................65532
724 Authority citation revised..............................14026, 52147
724.1 Amended; heading revised; interim............................14026
Heading revised; amended.......................................52147
741 Comment period extension.......................................65532
741.203 (a) amended; interim.......................................51802
791.5 (a)(2) revised................................................5859
791.6 (a) amended...................................................5859
792 Authority citation revised.....................................14338
792.01--792.32 (Subpart A) Revised.................................14338
792.20--792.37 (Subpart B) Redesignated as 792.52--792.69 (Subpart
E).........................................................14338
792.52--792.69 (Subpart E) Redesignated from 792.20--792.37
(Subpart B);...............................................14338
Chapter IX
900 Authority citation revised......................................3455

[[Page 676]]

900.1--900.5 (Subpart A) Appendix A amended.........................3455
900.51 Amended.....................................................65687
904 Revised; interim...............................................37485
910.3 Revised.......................................................8059
912 Revised.........................................................8059
922 Removed........................................................65687
931.5 Redesignated from 931.11.....................................65687
931.6 Redesignated from 931.12.....................................65687
931.11 Redesignated as 931.5.......................................65687
931.12 Redesignated as 931.6.......................................65687
931.13 Removed.....................................................65687
931.14 Removed.....................................................65687
931.15 Removed.....................................................65687
931.16 Removed.....................................................65687
931.17 Removed.....................................................65687
931.18 Removed.....................................................65687
931.19 Removed.....................................................65687
931.20 Removed.....................................................65687
931.21 Removed.....................................................65687
931.23 Removed.....................................................65687
931.24 Removed.....................................................65687
931.25 Removed.....................................................65687
931.26 Removed.....................................................65687
931.30 Removed.....................................................65687
931.32 Removed.....................................................65687
931.34 Removed.....................................................65687
931.36 Removed.....................................................65687
931.38 Removed.....................................................65687
931.40 Removed.....................................................65687
932 Authority citation revised...............................3455, 65688
Heading revised................................................65687
932.1--932.2 Designated as Subpart A; heading added................65688
932.1 Revised......................................................65688
932.2 Added........................................................65688
932.3--932.17 Designated as Subpart B; heading added...............65688
932.3 Redesignated as 934.17.......................................65687
Added..........................................................65688
932.4 Added........................................................65689
932.5 Added........................................................65689
932.6 Added........................................................65689
932.7 Added........................................................65689
932.8 Revised......................................................65690
932.9 Revised......................................................65690
932.10 Revised.....................................................65690
932.11 (b) revised..................................................3455
Revised........................................................65690
932.12 Revised.....................................................65691
932.13 Revised.....................................................65691
932.14 Revised.....................................................65691
932.15 Removed; new 932.15 redesignated from 932.20 and amended....65692
932.16 Removed; new 932.16 redesignated from 932.26................65692
932.17 Redesignated from 932.27....................................65692
932.18--932.19 Designated as Subpart C; heading added..............65692
932.18 Removed; new 932.18 redesignated from 932.40; heading and
(a) introductory text revised; (d) removed.................65692
932.19 Removed; new 932.19 redesignated from 932.41; heading
revised....................................................65692
932.20 Redesignated as 932.15......................................65692
932.21 Removed.....................................................65692
932.22 Removed.....................................................65692
932.23 Removed.....................................................65692
932.26 Redesignated as 932.16......................................65692
932.27 Redesignated as 932.17......................................65692
932.28 Removed.....................................................65692
932.29 Removed.....................................................65692
932.40 (d) revised.................................................30587
Redesignated as 932.18.........................................65692
932.41 (b)(2) and (c)(3)(ii) revised; (c)(3)(iv) added; (a) and
(d) amended; (f) removed; (g) redesignated as (f)..........30587
(c)(2)(ii) amended.............................................65544
Redesignated as 932.19.........................................65692
932.43 Removed.....................................................65692
932.50 Removed.....................................................65692
932.51 Removed.....................................................65692
932.60 Removed.....................................................65692
932.61 Removed.....................................................65692
932.62 Removed.....................................................65692
933 Authority citation revised......................................3455
933.1 (cc) revised..................................................3455
(n)(1)(iii) revised; (bb)(6)(iii) and (7) amended; (bb)(8)
added..............................................................35127
(l), (z) and (aa) amended; (u), (x) and (y) revised; (ee)
added..............................................................40023
933.2 (c)(2) amended...............................................40023
933.3 (c) amended..................................................40023
933.4 (d) added....................................................40024
933.9 Amended......................................................40023
933.10 Amended.....................................................40023
933.11 (a)(1), (3), (4), (b)(1), (2), (3)(i) introductory text and
(ii) amended...............................................40023
(b)(3)(i)(B) and (C) revised...................................40024
933.12 (a) amended.................................................40023
933.14 (a) heading removed; (a)(1) revised; (b) removed............40024
933.15 (a)(i) and (ii) amended.....................................40023
(c) added......................................................40024
933.16 Amended.....................................................40023

[[Page 677]]

933.17 (e)(1) introductory text, (i), (2)(i), (3)(i) and (f)(1)
amended....................................................40023
933.18 (a)(1) amended; (e) revised.................................65692
933.20 (b)(1) and (2) amended......................................40024
(e) revised....................................................65692
933.22 (b)(1) amended..............................................65692
933.24 (b)(3) amended; (b)(4) removed..............................65692
933.25 (e) amended; (f) removed....................................65692
933.26 (d) amended; (e) removed....................................65692
933.27 (f) amended; (g) removed....................................65692
933.28 (c) amended; (d) removed....................................65692
934.16 Regulation at 62 FR 65198 confirmed.........................39702
934.17 Redesignated from 932.3.....................................65687
935.1 Amended...............................................35128, 65545
935.7 Removed......................................................65545
935.13 (a)(5) revised..............................................65545
935.14 (b)(2) revised..............................................65545
936.1 (g) and (h) revised..........................................65545
936.5 (e) revised..................................................65545
936.6 (a)(5) added; (b) removed; (c) redesignated as (b); (a)
introductory text, (2) and (4) new (b) revised.............65545
936.7 Revised......................................................65545
937 Added..........................................................39704
938 Added..........................................................65699
941.17 (f)(2) revised..............................................65693
943.6 (c) revised..................................................65700
960.1 Amended; interim.............................................27672
960.4 (d) revised; interim.........................................27672
960.5 (b)(9), (10)(i)(C) and (ii) revised; interim.................27672
960.6 (b)(4)(ii) and (iii) amended; (b)(4)(iv)(A), (C)(2), (D),
(F)(8) and (10) revised; interim...........................27673
960.7 (a) revised; interim.........................................27673
960.9 Introductory text revised; interim...........................27673
960.12 (e) revised; interim........................................27673
960.13 (c)(4), (5)(iv), (d)(1) and (2)(iv) revised; interim........27673
970 (Subchapter F) Added...........................................65546
Chapter XV
Chapter XV Heading revised.........................................57237
1502 Removed.......................................................57237
1503 Removed.......................................................57237
1505 Removed.......................................................57237
1506 Removed.......................................................57237
1507 Removed.......................................................57237
ChapterXVII
1710 Added; eff. 1-22-99...........................................71005
1720 Added; interim.................................................8844
Regulation at 63 FR 8844 confirmed.............................26063

1999

12 CFR
64 FR
Page
Chapter I
1.3 (e)(1) revised.................................................60098
3.6 (c) revised....................................................10199
3 Appendix A amended...............................................10199
Regulation at 62 FR 68067 confirmed............................19037
4.6 Regulation at 63 FR 46120 confirmed............................56952
4.7 Regulation at 63 FR 46120 confirmed; (b)(1)(iii)(B) and (2)
introductory text revised..................................56952
4.31 Regulation at 63 FR 62929 confirmed; (b)(3) amended...........29216
4.32 Regulation at 63 FR 62929 confirmed; (b)(1)(vii) revised......29216
4.34 (a), (c) introductory text, (1) and (2) amended...............29216
4.36 Regulation at 63 FR 62929 confirmed; (a) revised; (b) and (c)
redesignated as (c) and (d); new (b) added; new (c)
heading revised............................................29216
4.37 Regulation at 63 FR 62929 confirmed...........................29216
(a)(1) revised; (a)(2)(i) and (ii) amended.....................29217
4.38 Regulation at 63 FR 62929 confirmed...........................29216
4.39 Regulation at 63 FR 62929 confirmed...........................29216
4.40 Regulation at 63 FR 62929 confirmed...........................29216
4.31--4.40 (Subpart C) Appendix A amended..........................29217
5.3 (c) revised; (g)(2) amended....................................60098
5.11 (i)(1) amended................................................60098
5.33 (d)(2)(i) revised.............................................60098
5.35 (g)(3) amended................................................60098
5.37 (d)(1)(i) and (3) amended.....................................60098
5.51 (c)(6)(i) amended.............................................60098
5.64 (b) amended...................................................60098
7 Heading revised..................................................60098
7.1012 (c)(2)(i) and (ii) revised; (c)(2)(iii) through (vi) added
60098

[[Page 678]]

7.1016 (a), footnote, (b)(1)(iii)(C), (iv) and (2)(ii) revised.....60099
7.1017 Introductory text revised...................................60099
7.2005 (b)(4) revised..............................................60099
7.2008 (b) amended; (c) added......................................60099
7.2020 Revised.....................................................60099
7.2023 Added.......................................................60099
7.4000 Heading, (a) and (b) revised................................60100
7.4003 Added.......................................................60100
7.4004 Added.......................................................60100
7.4005 Added.......................................................60100
22.6 (a) revised...................................................71273
24.1 (d) added; eff. 1-19-00.......................................70990
24.3 (b) and (c) removed; (d) redesignated as (b) and amended; new
(b)(6) revised; eff. 1-19-00...............................70990
24.4 (a) amended; eff. 1-19-00.....................................70991
24.5 (a)(1), (3)(iii), (b)(1) and (2)(iii) revised; (a)(3)(v) and
(vi) amended; (a)(3)(vii) removed; (a)(5) added; eff. 1-
19-00......................................................70991
24.6 Heading, (a) introductory text, (5) and (8) revised; (a)(9)
redesignated as (a)(10); new (a)(9) added; (b) removed;
eff. 1-19-00...............................................70991
26.2 (b) and (f) removed; (c) through (s) redesignated as (b)
through (q)................................................51678
26.3 (c) revised...................................................51678
26.5 Revised.......................................................51678
26.6 Revised.......................................................51678
26.7 (a) revised...................................................51678
30 Authority citation revised......................................52641
30.2 Amended; interim..............................................52641
30.3 (a) revised; interim..........................................52641
30 Appendix C added; interim.......................................52641
Appendix B revised......................................66704, 66705
Chapter II
201.2 (j) and (k) added............................................41769
201.3 (e) added....................................................41769
201.6 (d) revised..................................................41770
201.7 Existing text designated as (a); (b) added...................41770
201.51 Revised..............................................48274, 66554
201.52 Heading revised; (c) added..................................41770
203 Supplement I amended...........................................70992
204.9 Revised......................................................53619
208 Authority citation revised.....................................10199
208.25 (f)(1) revised..............................................71274
208 Appendix A amended.............................................10199
Appendixes A and B amended.....................................10200
Regulation at 62 FR 68067 confirmed; Appendix E amended........19037
Appendix E amended.............................................19038
Regulation at 63 FR 55486 confirmed............................66705
Appendix D-2 revised....................................66704, 66705
211.26 Regulation at 63 FR 26121 confirmed; (c)(2)(i)(C)(2) and
(ii) revised...............................................56952
211.604 Added......................................................58781
212.2 (b) and (f) removed; (c) through (r) redesignated as (b)
through (p)................................................51679
212.3 (b) and (c) revised..........................................51679
212.5 Revised......................................................51679
212.6 Revised......................................................51679
212.7 (a) revised..................................................51679
213 Supplement I amended....................................16613, 16614
220 OTC margin stock lists...................................8711, 46559
225 Appendix A amended.............................................10203
Regulation at 62 FR 68068 confirmed............................19037
Appendix E amended.............................................19038
226 Dollar amount adjustment notice................................60335
226 Supplement I amended....................................16616, 16617
229.19 (g) redesignated as (g)(1); new (g)(1) heading and (2)
added......................................................14577
229.36 (c) removed.................................................59613
229.40 Existing text designated as (a); (a) heading and (b) added
14577
229 Appendix E amended.............................................59613
230.6 (c) added; interim...........................................49848
262.3 (b)(1)(ii) amended; (b)(1)(ii)(A) removed; (b)(1)(ii)(B)
revised....................................................53188
263.302 Reguation at 63 FR 55488 confirmed.........................66707
Chapter III
303.164 (b) revised................................................20142
308 Authority citation revised.....................................62100
308.101 (b) revised................................................62100
308.102 (b) revised................................................62100
308.109 (b)(3) and (c) revised.....................................62100
308.127 (a) amended................................................62100
308.132 (c)(3) heading and introductory text amended...............62100
308.145 Amended....................................................62100
308.148 (b) and (d) amended........................................62100
308.151 Revised....................................................62100
308.152 (a) and (b) amended........................................62101
308.153 Heading amended............................................62101
308.155 (c)(2) amended.............................................62101

[[Page 679]]

308.156 Amended....................................................62101
Corrected......................................................72913
308.157 (a)(1) amended.............................................62101
308.158 Revised....................................................62101
308.160 (c)(2) amended.............................................62101
308.161 Revised....................................................62101
308.162 (a) revised................................................62101
308.163 (b) revised................................................62101
308.164 (b)(2) amended.............................................62102
308.170 (a) and (b) revised........................................62102
308.171 (b) revised................................................62102
308.172 (b)(3) added...............................................62102
308.174 Revised....................................................62102
308.175 (a) amended................................................62102
308.176 (a) revised................................................62102
308.179 Amended....................................................62102
325.3 (b)(2) revised...............................................10200
325 Appendix A amended.............................................10200
Regulation at 62 FR 68068 confirmed; Appendix C amended........19038
327.3 (c)(1) and (d)(1) amended; eff. 4-1-00.......................70181
327.4 (a)(1) introductory text and (d) revised; (e) amended; eff.
4-1-00.....................................................70181
327.9 (c)(4) amended; eff. 4-1-00..................................70181
330.3 (h) revised..................................................15656
330.5 Heading, (b)(1), (4) heading and (i) revised.................15656
330.9 (b) revised..................................................15656
(a) revised....................................................62102
330.10 (a) and (e) revised.........................................15657
330.14 (a) revised.................................................15657
331 Added; interim.................................................30875
Regulation at 64 FR 30875 confirmed; Appendix A revised........50434
Regulation at 64 FR 30875 confirmed; Appendix B revised........50436
331.4 Amended......................................................50434
339.6 (a) revised..................................................71274
343 Removed........................................................62105
347.214 Regulation at 63 FR 26121 confirmed; revised...............56952
348.2 (b) and (f) removed; (c) through (r) redesignated as (b)
through (p)................................................51679
348.3 (c) revised..................................................51679
348.5 Revised......................................................51680
348.6 Revised......................................................51680
348.7 (a) revised..................................................51680
364 Appendix B revised......................................66704, 66706
364.101 Regulation as 63 FR 55488 confirmed........................66708
Chapter IV
404 Revised........................................................14374
405 Removed........................................................14381
Chapter V
503.1 (b), (c) and (d) amended.....................................69184
505.2 Amended......................................................69184
505.3 Amended......................................................69184
505.4 Amended......................................................69184
541.3 Removed......................................................46564
541.4 Removed......................................................46564
541.6 Removed......................................................46564
541.13 Removed.....................................................46564
541.17 Removed.....................................................46564
541.23 Revised.....................................................46564
545.103 Redesignated as 560.60.....................................46565
557.11 (a) introductory text revised...............................69184
559.11 Amended.....................................................69185
560.60 Redesignated from 545.103 and revised.......................46565
560.3 Amended......................................................46565
560.50 Added.......................................................46565
560.120 (a) amended; (b)(2)(ii) revised............................46565
561.10 Removed.....................................................46565
561.11 Removed.....................................................46565
561.13 Removed......................................................6503
561.20 Removed.....................................................46565
561.21 Removed.....................................................46565
561.23 Removed.....................................................46565
561.25 Removed.....................................................46565
561.32 Removed.....................................................46565
561.36 Removed.....................................................46565
561.47 Removed......................................................6503
561.48 Removed......................................................6503
563 Authority citation revised......................................2809
563.41 (b)(1)(v)(B) revised........................................69185
563.134 Removed.....................................................2809
563.140--563.146 (Subpart E) Revised................................2809
563.171 Heading revised............................................69185
563b.3 (g)(2) amended...............................................2810
563f.2 (b) and (f) removed; (c) through (s) redesignated as (b)
through (q)................................................51680
563f.3 (c) revised.................................................51680
563f.5 Revised.....................................................51680
563f.6 Revised.....................................................51680
563f.7 (a) revised.................................................51681
567.1 Amended......................................................10200
567.2 (a)(2)(ii) revised...........................................10201
567.6 (a)(1)(vi) revised...........................................10201
567.8 Revised......................................................10201
570.1 Regulation at 63 FR 55488 confirmed; (c) revised.............66708
570 Appendix B revised......................................66704, 66706
572.6 (a) revised..................................................69185

[[Page 680]]

Chapter VI
602 Revised (effective date pending)...............................41770
Regulation at 64 FR 41770 eff. 10-6-99.........................54512
602.11 (e) corrected...............................................45589
611.310--611.340 (Subpart C) Regulation at 63 FR 64843 eff. 2-11-
99..........................................................6784
611.330 Regulation at 63 FR 64843 eff. 2-11-99......................6784
611.340 Regulation at 63 FR 64843 eff. 2-11-99......................6784
611.400 (c) and (d)(3) revised (effective date pending)............16618
Regulation at 64 FR 16618 eff. 5-11-99.........................25423
611.505 Regulation at 63 FR 64844 eff. 2-11-99......................6784
611.1122 Regulation at 63 FR 64844 eff. 2-11-99.....................6784
612.2165 (b)(7) amended (effective date pending)...................43048
Regulation at 64 FR 43048 eff. 10-13-99........................55621
614 Authority citation revised.....................................34517
614.4000 (e)(4) removed (effective date pending)...................43049
Regulation at 64 FR 43049 eff. 10-13-99........................55621
614.4010 (f)(1) revised; (f)(4) removed (effective date pending)
43049
Regulation at 64 FR 43049 eff. 10-13-99........................55621
614.4030 (c)(4) removed (effective date pending)...................43049
Regulation at 64 FR 43049 eff. 10-13-99........................55621
614.4040 (c)(4) removed (effective date pending)...................43049
Regulation at 64 FR 43049 eff. 10-13-99........................55621
614.4050 (d)(4) removed (effective date pending)...................43049
Regulation at 64 FR 43049 eff. 10-13-99........................55621
614.4232 Introductory text amended; (c) revised (effective date
pending)...................................................34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049
614.4325 (a)(3) amended (effective date pending)...................34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049
614.4350--614.4360 (Subpart J) Heading revised (effective date
pending)...................................................34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049
614.4350 (a) and (c) revised (effective date pending)..............34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049
614.4351 Amended (effective date pending)..........................34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049
614.4352 (a), (b)(1) and (2) amended (effective date pending)......34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049
614.4353 Amended (effective date pending)..........................34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049
614.4354 Amended (effective date pending)..........................34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049
614.4355 Introductory text, (a) heading and (b) heading amended
(effective date pending)...................................34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049
614.4356 Redesignated as 614.4357; new 614.4356 added (effective
date pending)..............................................34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049
614.4357 Redesignated as 614.4358; new 614.4357 redesignated from
614.4356 (effective date pending)..........................34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049
614.4358 Redesignated as 614.4359; new 614.4358 redesignated from
614.4357; (a) introductory text, (1), (3) and (b)
introductory text amended; (b)(5) redesignated as (b)(6);
new (b)(5) added (effective date pending)..................34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049

[[Page 681]]

614.4359 Redesignated as 614.4360; new 614.4359 redesignated from
614.4358; (a) introductory text, (a)(1)(iii), (b), (c) and
Table 1 amended (effective date pending)...................34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049
614.4360 Redesignated as 614.4361; new 614.4360 redesignated from
614.4359; heading, (a), (b), (c) and (d) amended; (d)
redesignated as (e); new (d) added (effective date
pending)...................................................34517
Regulation at 64 FR 34517 eff. 8-6-99..........................43049
614.4361 Redesignated from 614.4360 (effective date pending).......34517
(a) and (b) amended............................................34518
Regulations at 64 FR 34517 and 34518 eff. 8-6-99...............43049
614.4460 (Subpart M) Revised (effective date pending)..............43049
Regulation at 64 FR 43049 withdrawn............................55621
614.4710 Introductory text, (a)(2) and (3) amended (effective date
pending)...................................................34518
Regulation at 64 FR 34518 eff. 8-6-99..........................43049
614.4720 (g) removed (effective date pending)......................43049
Regulation at 64 FR 43049 confirmed; eff. 10-13-99.............55621
614.4940 (a) revised...............................................71274
615.5131 Revised (effective date pending)..........................28895
Regulation at 64 FR 28895 eff. 7-15-99.........................38111
615.5133 Revised (effective date pending)..........................28895
Regulation at 64 FR 28895 eff. 7-15-99.........................38111
615.5134 (b) revised (effective date pending)......................28896
Regulation at 64 FR 28896 eff. 7-15-99.........................38111
615.5140 Revised (effective date pending)..........................28896
Regulation at 64 FR 28896 eff. 7-15-99.........................38111
615.5141 Redesignated as 615.5142; new 615.5141 added (effective
date pending)..............................................28899
Regulation at 64 FR 28899 eff. 7-15-99.........................38111
615.5142 Redesignated as 615.5143; new 615.5142 redesignated from
615.5141 and revised (effective date pending)..............28899
Regulation at 64 FR 28899 eff. 7-15-99.........................38111
615.5143 Redesignated as 615.5144; new 615.5143 redesignated from
615.5142 and revised (effective date pending)..............28899
Regulation at 64 FR 28899 eff. 7-15-99.........................38111
615.5144 Redesignated from 615.5143 (effective date pending).......28899
Regulation at 64 FR 28899 eff. 7-15-99.........................38111
615.5170--615.5174 (Subpart F) Heading revised (effective date
pending)...................................................49961
Regulation at 64 FR 49961 eff. 10-21-99........................56676
615.5171 Revised (effective date pending)..........................49961
Regulation at 64 FR 49961 eff. 10-21-99........................56676
615.5174 Revised...................................................28899
Regulation at 64 FR 28899 eff. 7-15-99.........................38111
616 Added (effective date pending).................................34518
Regulation at 64 FR 34518 eff. 8-6-99..........................43049
618.8050--618.8060 (Subpart C) Removed (effective date pending)....34519
Regulation at 64 FR 34519 eff. 8-6-99..........................43049
618.8210--618.8270 (Subpart F) Removed (effective date pending)....43049
Regulation at 64 FR 43049 eff. 10-13-99........................55621
618.8320 (b)(7) removed; (b)(8), (9) and (10) redesignated as
(b)(7), (8) and (9) (effective date pending)...............43049
Regulation at 64 FR 43049 eff. 10-13-99........................55621
618.8330 Revised (effective date pending)..........................43049
Regulation at 64 FR 43049 eff. 10-13-99........................55621

[[Page 682]]

618.8440 (b)(6) amended (effective date pending)...................34519
Regulation at 64 FR 34519 eff. 8-6-99..........................43049
620.5 (i)(1) amended (effective date pending)......................16618
Regulation at 64 FR 16618 eff. 5-11-99.........................25423
621.7 (a)(2)(iii) amended (effective date pending).................34519
Regulation at 64 FR 34519 eff. 8-6-99..........................43049
Chapter VII
701.2 Removed......................................................57365
701.12 Removed.....................................................41035
701.13 Removed.....................................................41035
701.14 (b)(3) introductory text and (c)(2) revised; (b)(4) added;
(d)(1) amended.............................................28717
701.20 Removed.....................................................28719
701.21 (c)(7)(ii)(C) Revised........................................5929
Regulation at 63 FR 51799 confirmed............................28729
(a) amended....................................................57365
701.25 Added.......................................................19443
701.30 Removed.....................................................28718
701.34 (b)(7) revised; Appendix amended; eff. 1-26-00..............72270
701.39 Added.......................................................56956
703.20 (c) amended.................................................33187
(a) and (c) amended............................................57365
704.7 (d) amended..................................................57365
707.4 Regulation at 63 FR 71574 confirmed..........................33010
707.5 Regulation at 63 FR 71574 confirmed..........................33010
707.6 Heading revised; (c) added; interim..........................66356
707.8 Regulation at 63 FR 71574 confirmed..........................33010
707.9 Regulation at 63 FR 71575 confirmed..........................33010
707 Regulation at 63 FR 71575 confirmed............................33010
708a.4 (b) amended.................................................28735
708a.5 (c) amended.................................................28735
708a.9 (b) revised.................................................28735
709.5 (e) amended..................................................57365
711.2 (b) and (f) removed; (c) through (s) redesignated as (b)
through (q)................................................66360
711.3 (c) revised..................................................66360
711.5 Revised......................................................66360
711.6 Revised......................................................66360
711.7 (a) revised..................................................66360
712.2 Heading revised; (a) and (c) amended; (d) and (e) added......33187
712.3 (a) and (b) amended; (c) revised.............................33187
(a) amended....................................................57365
712.5 (p) added....................................................33187
(p) redesignated as (q); new (p) added.........................66361
712.6 (b) revised; interim.........................................33188
(a) designation and (b) removed................................66361
713 Added..........................................................28720
713.2 Amended......................................................57365
715 Added..........................................................41035
722.3 Regulation at 63 FR 51799 confirmed..........................28729
723 Regulation at 63 FR 51799 confirmed; revised...................28729
723.1 (b)(3) amended...............................................57365
741.3 (a)(3) amended...............................................41040
741.4 (a), (g) and (j) amended; (b)(3) removed; (b)(2)
redesignated as (b)(3); (b)(2), (4) and (5) added; (b)(1),
(c) through (f) and (h) revised............................56150
741.6 (a) amended; (b) redesignated as (d); new (b) and (c) added
41040
741.201 (a) and (b) amended........................................28721
741.202 (a) and (b) amended........................................41040
741.203 Regulation at 63 FR 51802 confirmed........................28729
(a) amended....................................................28733
745 Authority citation revised.....................................19687
745.4 Revised; interim.............................................19687
745.8 Revised; interim.............................................19687
745 Appendix amended; interim...............................19687, 19688
760.6 (a) revised..................................................71274
790.2 (b)(6)(ii) revised...........................................17086
(b)(7) and (16) amended........................................57365
791.18 (e) amended.................................................57365
792.54 (b) amended.................................................57365
792.55 (a) amended.................................................57365
792.56 (a) amended.................................................57365
792.66 (b)(2) amended..............................................57365
795.1 (b) revised (OMB numbers)....................................49080
Chapter IX
902.6 Removed......................................................30883
903 Added..........................................................30883
904.9 (f)(2) revised................................................5930
905 Added; interim.................................................44106
Regulation at 64 FR 44106 confirmed............................61016
910 Authority citation revised.....................................55130

[[Page 683]]

910.0 (b), (c) and (d) redesignated as (c), (d) and (e); (a) and
new (c) revised; new (b), (f) and (g) added................55130
910.7 Added........................................................55130
932 Authority citation revised.....................................71277
932.16 Revised; interim............................................71277
932.17 (a), (b) and (c) revised; (f) added; interim................71278
932.18--932.19 (Subpart C) Removed; interim........................71278
934.7 Heading amended; (a)(2) and (b) through (e) removed; (a)(1),
(a)(3), (a)(4) and (a)(5) redesignated as (a) through (d);
interim....................................................71278
934.16 Revised; interim............................................71278
934.17 Revised; interim............................................71278
935 Authority citation revised.....................................16621
935.1 Amended......................................................16621
935.4 (d)(1) designation and (2) removed; interim..................71278
935.5 (a)(2) removed; (a)(3) redesignated as (a)(2); interim.......71278
935.9 (a) revised; (b) heading, (c) heading and (e) heading
amended....................................................16621
935.11 (b) revised.................................................16621
935.15 (b) revised; interim........................................16791
935.16 Removed; interim............................................71278
960 Interpretation.................................................12079
960.1 Amended; interim.............................................24027
960.3 (b)(4) revised; interim......................................24027
960.5 (b)(10)(ii) revised..........................................23015
(b)(2)(ii)(B) amended; interim.................................24027
960.6 (b)(4)(iv)(D) and (F)(8) revised.............................23015
(b)(4)(iv)(D) and (F)(1) revised; interim......................24028
960.7 Corrected.....................................................2550
960.9 Introductory text revised....................................23016
Chapter XI
1102.300 Revised; eff. 1-12-00.....................................72496
1102.301 Revised; eff. 1-12-00.....................................72496
1102.303 (b) and (d) revised; eff. 1-12-00.........................72497
1102.304 Revised; eff. 1-12-00.....................................72497
1102.305 Heading, (a) and (c) revised; eff. 1-12-00................72497
1102.306 Redesignated as 1102.309; new 1102.306 added; eff. 1-12-
00.........................................................72497
1102.307 Redesignated as 1102.308; eff. 1-12-00....................72497
Added; eff. 1-12-00............................................72500
1102.308 Redesignated from 1102.307; eff. 1-12-00..................72497
1102.309 Redesignated from 1102.306; eff. 1-12-00..................72497
1102.310 Added; eff. 1-12-00.......................................72501
Chapter XVII
1730 Added; interim................................................34969
Regulation at 64 FR 34969 confirmed............................50246
1780 Part heading revised..........................................72509
Authority citation revised.....................................72510
1780.1--1780.16 (Subpart A) Added; eff. 1-27-00....................72510
1780.20--1780.35 (Subpart B) Added; eff. 1-27-00...................72513
1780.50--1780.57 (Subpart C) Added; eff. 1-27-00...................72518
1780.70--1780.75 (Subpart D) Added; eff. 1-27-00...................72520
1780.70 Redesignated as 1780.80; eff. 1-27-00......................72510
1780.71 Redesignated as 1780.81; eff. 1-27-00......................72510
1780.80 Redesignated from 1780.70; eff. 1-27-00....................72510
1780.81 Redesignated from 1780.71; eff. 1-27-00....................72510
Chapter XVIII
1805 Revised; interim..............................................59082

2000

12 CFR
65 FR
Page
Chapter I
3 Appendixes A and B amended; interim; eff. 1-4-01.................75858
5 Authority citation revised.......................................12910
5.24 (d)(2)(ii)(G) revised.........................................12910
5.33 (e)(3)(i) and (ii) revised....................................12911
5.34 Revised.......................................................12911
5.35 (e), (f)(1), (2), (g)(2), (h) and (i)(2) revised; (f)(3)
removed; (f)(4), (5) and (6) redesignated as (f)(3), (4)
and (5)....................................................12913
5.36 (c) and (d) redesignated as (d) and (f); new (c) and (e)
added......................................................12913
(e)(6) amended; (e)(7) redesignated as (e)(8); new (e)(7)
added..............................................................41560
5.39 Added.........................................................12914
8.6 Heading revised; (c) added.....................................75862
14 Added; eff. 4-1-01..............................................75839
19 Authority citation revised......................................77251

[[Page 684]]

19.240--19.241 (Subpart O) Revised.................................77252
40 Added...........................................................35196
Chapter II
201.51 Revised........................................6532, 16802, 34048
203 Supplement I amended; eff. 1-1-01..............................80735
204.9 Revised......................................................69859
204.125 Amended....................................................12917
208 Authority citation revised.....................................75841
208.100--208.101 (Subpart G) Redesignated as 208.100--208.101
(Subpart H); interim.......................................14814
208.100--208.101 (Subpart H) Redesignated as (Subpart I); eff. 4-
1-01.......................................................75841
208.71--208.77 (Subpart G) Added; interim..........................14814
208.71 (c) added; interim..........................................15052
208.77 (e) and (f) redesignated as (f) and (g); new (e) added;
interim....................................................15052
208.81--208.86 (Subpart H) Added; eff. 4-1-01......................75841
208 Appendix E amended; interim; eff. 1-4-01.......................75858
216 Added..........................................................35206
220 OTC margin stock lists...................................9207, 51519
216 Added..........................................................35206
225 Authority citation revised..............................14438, 16472
Technical correction...........................................16302
225.1 (c)(9) through (13) redesignated as (c)(11) through (15);
new (c)(10) added; interim.................................16472
225.2 (r)(2) and (s) revised; interim...............................3791
(s)(1) introductory text revised; interim......................15055
225.4 (g) added; interim...........................................14442
225.24 (a)(3) removed..............................................14438
225.81--225.94 (Subpart I) Added; interim...........................3791
225.81 (c) redesignated as (d); new (c) added; interim.............15055
225.85 Added; interim..............................................14438
225.86 Added; interim..............................................14438
(d) added; eff. 1-22-01........................................80740
225.87 Added; interim..............................................14439
225.88 Added; interim..............................................14439
225.89 Added; interim..............................................14440
225.90 Revised; interim............................................15055
225.91 Revised; interim............................................15056
225.92 Revised; interim............................................15056
225.93 Revised; interim............................................15056
225.94 Revised; interim............................................15057
225.170--225.175 (Subpart J) Added; interim........................16472
225 Appendix E amended; interim; eff. 1-4-01.......................75859
226.5 Footnote 9 revised...........................................58908
226.5a (a)(3) revised..............................................17131
(a)(2)(ii), (5), (b) introductory text and (1) introductory
text revised; (b)(11) added........................................58908
226.12 (g) revised.................................................17131
226 Supplement I amended.............................17131, 58910, 70465
Appendix G amended.............................................58908
261a Authority citation revised....................................34392
261a.13 (b)(6) removed; (b)(7), (8) and (9) redesignated as
(b)(6), (7) and (8); new (b)(9) added......................34392
263.65 Revised.....................................................60584
269a.4 Amended; interim.............................................2530
269a.5 Amended; interim.............................................2530
272.3 (a) and (b) amended...........................................6320
272.4 (b) amended...................................................6320
Chapter III
303 Authority citation revised.....................................15529
303.120 Revised; interim...........................................15529
303.121 Revised; interim...........................................15529
303.122 (a) amended; interim.......................................15530
303.123 (b) revised; interim.......................................15530
308.116 (b)(4)(iii)(A) and (B) amended.............................64887
308.132 (c)(2)(i), (iii)(A), (C), (3)(i), (ii), (ix), (xiv) and
(xvi) amended..............................................64887
325 Appendix C amended; interim; eff. 1-4-01.......................75859
331 Removed........................................................78899
332 Added..........................................................35216
340 Added..........................................................14818
343 Added; eff. 4-1-01.............................................75843
360 Authority citation revised.....................................49191
360.6 Added........................................................49191
361 Revised........................................................31253
362 Authority citation revised.....................................15530
362.16--362.18 (Subpart E) Added; interim..........................15530
Chapter V
506.1 (b) amended..................................................78900
509 Authority citation revised.....................................61262
509.19 (c)(1) amended..............................................78901
509.31 (b)(3) revised..............................................78901
509.103 Added......................................................61262
510.6 Removed......................................................61262
536 Added; eff. 4-1-01.............................................75845
560.30 Amended.....................................................78901

[[Page 685]]

563 Effective date confirmation....................................30257
563.84 Removed.....................................................16305
563b Comment period extention......................................60096
563b.3 (g)(1) and (3) revised; interim.............................43090
563c Effective date confirmation...................................30257
563c.101 (c) revised...............................................16305
563g Effective date confirmation...................................30257
563g.3 (a) removed.................................................16305
573 Added..........................................................35226
575 Comment period extention.......................................60096
575.11 (c) introductory text, (1), (2) and (3) redesignated as
(c)(1) introductory text, (ii), (iii) and (iv); (a), new
(c)(1) introductory text and (iv) amended; (c)(1)(i), new
(2) and (d)(3) added; interim..............................43091
Chapter VI
611.400 (e) correctly revised.......................................8023
612 Revised (effective date pending)...............................40487
Regulation at 65 FR 40487 withdrawn; eff. 9-11-00..............54742
614 Technical correction...........................................26278
614.4000 (d)(2) removed; (d)(1) introductory text, (i) and (ii)
redesignated as (d) introductory text, (1) and (2); new
(d) introductory text, (1) and (2) amended (effective date
pending)...................................................24102
Regulation at 65 FR 24102 eff. 5-25-00.........................33743
614.4010 (e)(2) removed; (e)(1) introductory text, (i) and (ii)
redesignated as (e) introductory text, (1) and (2); new
(e) introductory text and (2) amended (effective date
pending)...................................................24102
Regulation at 65 FR 24102 eff. 5-25-00.........................33743
614.4030 (b)(2) removed; (b)(1) introductory text, (i) and (ii)
redesignated as (b) introductory text, (1) and (2); new
(b) introductory text, (1) and (2) amended (effective date
pending)...................................................24102
Regulation at 65 FR 24102 eff. 5-25-00.........................33743
614.4040 (b)(2) removed; (b)(1) introductory text, (i) and (ii)
redesignated as (b) introductory text, (1) and (2); new
(b) introductory text amended (effective date pending).....24102
Regulation at 65 FR 24102 eff. 5-25-00.........................33743
614.4050 (c)(2) removed; (c)(1) introductory text, (i) and (ii)
redesignated as (c) introductory text, (1) and (2); new
(c) introductory text amended (effective date pending).....24102
Regulation at 65 FR 24102 eff. 5-25-00.........................33743
614.4440 (f) amended (effective date pending)......................40491
Regulation at 65 FR 40491 eff. 9-11-00.........................54742
620.5 (i)(3)(i) corrected...........................................8023
622 Authority citation revised.....................................46088
622.61 Revised.....................................................46088
Chapter VII
700.1 (i) removed; (j) and (k) redesignated as (i) and (j).........44966
701.1 Revised......................................................64521
701.21 (c)(3) revised..............................................15226
(c)(7)(ii)(C) revised..........................................44977
701.34 (b)(12) and (13) added; Appendix amended....................21131
702 Revised.........................................................8584
702.2 (j)(2) amended; (k) added....................................44966
702.101 (a)(2) corrected...........................................55439
702.102 (a)(1), (2) and (3) amended................................44966
702.103 Added......................................................44966
702.104 Added......................................................44966
702.105 Added......................................................44967
702.106 Added......................................................44968
702.107 Added......................................................44969
702.108 Added......................................................44971
702.101--702.108 (Subpart A) Appendix A through F added............44971
702.302 (a), (c)(1), (2) and (3) amended...........................44974
(a), (c)(1), (2) and (3) corrected.............................55439
705.10 Amended.....................................................80299
707.6 Regulation at 64 FR 66356 confirmed..........................21132
707 Appendix C corrected; CFR correction...........................32010
709 Authority citation revised.....................................55442
709.0 Amended......................................................55442
709.10 Added.......................................................55442
709.11 Added.......................................................55443

[[Page 686]]

714 Added..........................................................34585
716 Added..........................................................31740
Corrected......................................................34534
716.4 (f) redesignated as (f)(1); (f)(2) added.....................36783
716.7 (d)(6) added.................................................36783
724.1 Amended......................................................10934
741 Authority citation revised......................................8593
741.3 (a)(1) and (2) revised........................................8593
741.220 Added......................................................31750
745 Regulation at 64 FR 19687 confirmed............................34924
745.2 (a) amended..................................................34924
745.4 Regulation at 64 FR 19687 confirmed; (e) and (f) added.......34924
745.9-1 (c) added..................................................34924
745.9-2 (a) amended................................................10934
(a) revised....................................................34924
745.10 (a)(1) through (5) and (b) revised; (c) amended.............34924
745.88 Regulation at 64 FR 19687 confirmed.........................34924
745 Appendix amended...............................................34925
747 Authority citation revised...............................8593, 57280
747.1001 (Subpart K) Revised.......................................57280
747.2001--747.2005 (Subpart L) Added................................8594
790.2 (b)(7) and (10) amended......................................25267
792.41 Amended.....................................................63789
792.47 (b) amended.................................................63789
792.49 Amended.....................................................63789
792.55 (a)(3) revised..............................................63790
792.56 (b)(1), (2) and (3) revised.................................63790
792.57 (b) revised.................................................63790
792.58 (a) amended.................................................63790
792.59 (e) revised.................................................63790
792.65 (a)(1) revised..............................................63790
792.66 (a), (b)(1) and (2) amended; (b)(4) added...................63790
792.69 (a) amended.................................................63790
Chapter IX
900 Redesignated as 905; new 900 added..............................8256
Authority citation revised..............................43981, 44426
900.1--900.5 (Subchapter A) Heading revised.........................8256
900.1 Amended.................................25274, 36298, 43981, 44426
902 Redesignated as 906.............................................8256
903 Redesignated as 907.............................................8256
904 Redesignated as 910.............................................8256
905--913 (Subchapter B) Heading revised.............................8256
905 Redesignated as 911; new 905 redesignated from 900..............8256
905.1 Amended.......................................................8256
905.2 (a) and (c) amended...........................................8256
905.4 (a) and (b) amended...........................................8256
905.14 (d) amended..................................................8257
905.30 (Subpart C) Removed.........................................36298
905.30 Amended......................................................8257
905.51 Amended......................................................8257
905.52 Amended......................................................8257
906 Redesignated as 912; new 906 redesignated from 902..............8256
906.1 Amended.......................................................8257
906.3 (c) amended...................................................8257
907 Redesignated from 903...........................................8256
907.1 Amended.......................................................8257
907.2 (a) and (b) amended...........................................8257
907.3 (a) amended...................................................8257
907.4 (a) and (b) amended...........................................8257
907.5 (a) and (b) amended...........................................8257
907.6 (c)(3), (6) and (8) amended...................................8257
907.8 (a) and (b) amended...........................................8257
907.9 (a), (c) and (d) amended......................................8257
907.10 (b)(3) and (8) amended.......................................8257
907.11 (a)(2), (4) and (5) amended..................................8257
907.12 (c), (g) introductory text, (3) and (4)(ii) amended..........8257
907.13 (a)(2) and (c) amended.......................................8257
907.14 (d), (e) and (g) amended.....................................8257
907.15 (c) amended..................................................8257
908 Removed.........................................................8256
909 Redesignated as 913.............................................8256
910 Redesignated as 966; new 910 redesignated from 904; heading
revised.....................................................8256
Nomenclature change............................................20346
910.1 Amended................................................8257, 20346
910.2 (a)(2), amended...............................................8257
(a)(3), (b)(1) and (3) amended..................................8258
910.3 (b) revised..................................................20346
910.4 (a), (b), (d)(1)(ii) and (e) amended..........................8257
(c)(3) and (e) revised; (d)(1) amended.........................20346
910.5 (a)(7)(iv) and (a)(8) amended.................................8257
910.6 Introductory text amended.....................................8257
910.7 Revised......................................................20346
910.8 (a)(1) and (2) amended........................................8257
(a)(1) revised.................................................20346
910.9 (b), (c) and (f)(4)(ii) amended...............................8257
(c), (d) introductory text, (3)(ii) introductory text, (e),
(f)(3), (4), (5) and (g) introductory text revised.................20346

[[Page 687]]

911 Redesignated from 905...........................................8256
911.1 Amended.......................................................8258
911.3 (a), (c)(1), (3), (4), (d) heading, introductory text and
(2) amended.................................................8258
911.5 (e) amended...................................................8258
911.6 (a) amended...................................................8258
911.9 (a) amended...................................................8258
912 Redesignated as 987; new 912 redesignated from 906..............8256
Nomenclature change.............................................8258
912.1 (a) amended...................................................8258
912.2 Amended.......................................................8258
912.3 (a) amended...................................................8258
912.5 (a)(1), (5), (6)(ii), (b)(1), (c)(2) and (3)(i) amended.......8258
912.6 (a)(1), (2), (b) and (c)(1) amended...........................8258
913 Redesignated from 909...........................................8256
913.2 Amended.......................................................8259
913.4 (a) amended...................................................8259
913.5 (a) amended...................................................8259
913.9 (a) and (b) amended...........................................8259
914 Removed.........................................................8256
915--918 (Subchapter C) Heading revised.............................8256
915 Redesignated from 932; heading revised..........................8256
Nomenclature change.............................................8259
915.1 Amended................................................8259, 41568
915.3 (b)(3) amended................................................8259
(a), (b)(5) and (c) amended; (e) revised.......................41568
915.4 (a), (b)(1) and (2) amended...................................8259
915.5 (b) amended...................................................8259
915.6 (a)(3) amended................................................8259
915.7 (a) amended...................................................8259
(a) amended; (b)(2) removed; (b)(3) redesignated as (b)(2) and
revised; (c)(4) and (d) added......................................41569
915.8 (a), (b) and (c) amended......................................8259
(b) amended....................................................41569
915.10 (b) revised.................................................41569
915.11 (b) and (f)(1) amended.......................................8259
915.12 (a) amended..................................................8259
915.13 (a) and (b) amended..........................................8259
915.14 (a)(2) amended...............................................8259
915.16 Removed......................................................8259
Added..........................................................41569
915.17 Removed......................................................8259
Added..........................................................41570
915.18 Removed......................................................8259
915.19 Removed......................................................8259
915 Appendix A added...............................................41570
917 Added...........................................................8259
Revised........................................................25274
917.4 Added........................................................44426
918 Removed.........................................................8256
Added...........................................................8259
918.2 Heading revised..............................................13666
918.3 Heading and (b) revised; (a) redesignated as (a)(1); (a)(2)
added......................................................13666
918.4 Heading revised..............................................13666
918.7 Revised......................................................13666
918.9 Added........................................................13666
920 Removed.........................................................8256
924 Removed.........................................................8256
925 (Subchapter D) Heading revised...........................8256, 44426
925 Redesignated from 933...........................................8256
925.1 (a), (g), (h) and (s) removed; (n)(1)(iii) and (y) amended
8261
(n)(1)(iii) amended; (ff) and (gg) added; interim..............13869
Regulation at 65 FR 13869 confirmed; (ff) and (gg) removed.....40981
925.2 (a)(2), (b), (c) introductory text, (2) and (4) amended.......8261
925.3 (a) and (c) amended...........................................8261
925.4 (a), (c), (d)(1) introductory text and (2) amended............8261
(a) removed; (b), (c) and (d) redesignated as (a), (b) and
(c); interim.......................................................13870
Regulation at 65 FR 13870 confirmed............................40981
925.5 (a)(1), (b)(1), (2) and (c) amended...........................8261
925.6 (b) revised; interim.........................................13870
Regulation at 65 FR 13870 confirmed............................40981
925.7 Amended.......................................................8261
925.8 Amended.......................................................8261
925.9 Amended.......................................................8261
925.10 Amended......................................................8261
Revised; interim...............................................13870
Regulation at 65 FR 13870 confirmed............................40981
925.11 (a) introductory text, (b) introductory text and (c)
amended.....................................................8261
925.12 Introductory text amended....................................8261
925.13 (a) amended..................................................8261
925.14 (a)(1), (2), (3), (4)(i), (ii) and (iii) amended.............8261
(a)(3) revised; interim........................................13870
Regulation at 65 FR 13870 confirmed............................40981

[[Page 688]]

925.15 (a)(i) and (a)(ii) redesignated as (a)(1) and (a)(2);
introductory text, new (a)(1), new (2), (b) and (c)
amended.....................................................8261
925.16 Amended......................................................8261
925.17 (a), (b), (c) heading, (d) heading, (1), (2), (e) heading,
(3)(i), (ii) and (f) heading amended........................8261
925.18 (a)(2), (c)(2), (4), (d)(2) and (e) amended..................8261
(e) amended; interim...........................................13870
Regulation at 65 FR 13870 confirmed............................40981
925.20 (b), (1), (2) and (e) amended................................8261
(a) revised; (b)(1) and (2) amended; interim...................13870
Regulation at 65 FR 13870 confirmed............................40981
925.22 (b)(1) amended...............................................8261
925.23 Amended......................................................8262
925.24 (a)(2), (b)(2) and (3) amended...............................8262
925.25 (d)(2) introductory text amended.............................8262
(d)(2)(ii)(A), (B), (iii) and (3) amended.......................8262
925.26 (c) and (d) amended..........................................8262
(a) revised; interim...........................................13870
Regulation at 65 FR 13870 confirmed............................40981
925.27 (a), (b)(1), (4), (c)(1), (2), (3) and (d) amended...........8261
(e) and (f) amended.............................................8262
925.28 (b) and (c) amended..........................................8262
925.29 (a)(1) and (2) amended.......................................8262
(a)(1) amended; interim........................................13870
Regulation at 65 FR 13870 confirmed............................40981
925.30 Introductory text, (a) and (b) amended.......................8262
Revised; interim...............................................13870
Revised........................................................40981
925.31 (d) amended..................................................8262
926 Added..........................................................44426
930 (Subchapter E) Heading revised..................................8256
931 Removed.........................................................8256
932 Redesignated as 915.............................................8256
932.15 Regulation at 64 FR 71277 confirmed.........................13666
932.16 Regulation at 64 FR 71278 confirmed.........................13666
932.17 Regulation at 64 FR 71278 confirmed.........................13666
932.18 Regulation at 64 FR 71278 confirmed.........................13666
933 Redesignated as 925.............................................8256
934 Removed.........................................................8256
934.7 Regulation at 64 FR 71278 confirmed..........................13666
934.16 Regulation at 64 FR 71278 confirmed.........................13666
934.17 Regulation at 64 FR 71278 confirmed.........................13666
935 Redesignated as 950.............................................8256
935.4 Regulation at 64 FR 71278 confirmed..........................13666
935.5 Regulation at 64 FR 71278 confirmed..........................13666
935.16 Regulation at 64 FR 71278 confirmed.........................13666
935.22 OMB number....................................................203
935.23 OMB number....................................................203
935.24 OMB number....................................................203
936 Authority citation revised......................................5739
Redesignated as 944.............................................8256
936.2 OMB number....................................................5739
936.3 OMB number....................................................5739
936.4 OMB number....................................................5739
936.5 OMB number....................................................5739
937 Redesignated as 989.............................................8256
938 Redesignated as 961.............................................8256
939 Removed.........................................................8256
940--944 (Subchapter F) Heading revised.............................8256
940 Removed.........................................................8256
Added..........................................................25278
Heading revised................................................43981
940.1 Amended......................................................43981
940.3 Added........................................................43981
941 Redesignated as 985.............................................8256
942 Removed.........................................................8256
943 Redesignated as 975.............................................8256
944 Removed; new 944 redesignated from 936..........................8256
Amended........................................................44428
944.1 Amended.......................................................8262
944.3 (b)(2), (3), (c)(2) and (3) amended...........................8262
944.4 (a) amended...................................................8262
944.5 (a)(3), (4), (d)(2) introductory text, (i) and (e) amended
8262
944.6 (b)(2) amended...............................................44428
950--961 (Subchapter G) Established.................................8256
950 Redesignated as 995; new 950 redesignated from 935..............8256
Nomenclature change............................................44428
950.1 Amended.......................................................8262
Amended..................................................8263, 44428

[[Page 689]]

950.2 (c)(3) amended................................................8262
Removed; new 950.2 redesignated from 950.4.....................44429
950.3 (a) and (c) amended...........................................8262
Removed; new 950.3 redesignated from 950.14; heading, (a) and
(b)(1) revised.....................................................44429
950.4 (c)(1) amended................................................8262
Redesignated as 950.2; new 950.4 redesignated from 950.5.......44429
950.5 (g)(2)(i) and (ii) amended....................................8263
Redesignated as 950.4; new 950.5 redesignated from 950.6;
(b)(1), (2)(ii), (3), (d)(1) and (2) revised.......................44429
950.6 (b)(2)(ii) and (3) amended....................................8263
Redesignated as 950.5; new 950.6 redesignated from 950.8; (a)
and (b)(1) revised.................................................44429
950.7 Redesignated from 950.9; (b) through (e) redesignated as (c)
through (f); (a) introductory text, (3), (4), (5), new (c)
and new (d) revised; new (b) and (g) added.................44429
950.8 (a) amended...................................................8263
Redesignated as 950.6..........................................44429
Redesignated from 950.10.......................................44430
950.9 (e) amended...................................................8262
(a)(2) amended..................................................8263
Redesignated as 950.7..........................................44429
Redesignated from 950.11.......................................44430
950.10 Redesignated as 950.8; new 950.10 redesignated from 950.12
and revised................................................44430
950.11 (a) amended..................................................8263
Redesignated as 950.9; new 950.11 redesignated from 950.15.....44430
950.12 Redesignated as 950.10; new 950.12 redesignated from 950.17
44430
950.13 (d)(2) amended...............................................8262
(c)(1), (2) and (e) amended.....................................8263
Removed; interim...............................................13870
Regulation at 65 FR 13870 confirmed............................40981
Redesignated from 950.18.......................................44430
950.14 Redesignated as 950.3.......................................44429
Redesignated from 950.20.......................................44430
950.15 (a)(2) and (b) amended.......................................8263
(a)(1) redesignated as (a); (a)(2) removed; (b)(1) amended;
interim............................................................13870
Regulation at 65 FR 13870 confirmed............................40981
Redesignated as 950.11; new 950.15 redesignated from 950.19....44430
950.16 Redesignated from 950.21 and revised........................44430
950.17 Redesignated as 950.12; new 950.17 redesignated from 950.24
and amended; heading and (b)(2)(i)(C) revised..............44430
950.18 Redesignated as 950.13......................................44430
950.19 Redesignated as 950.15......................................44430
950.20--950.24 (Subpart B) Heading revised.........................44430
950.20 (a) amended..................................................8262
Redesignated as 950.14.........................................44430
950.21 Amended......................................................8263
Redesignated as 950.16.........................................44430
950.22 (d) amended..................................................8263
Removed........................................................44430
950.23 (c)(2), (3), (4) introductory text, (i) and (ii) amended.....8262
(b) amended.....................................................8263
Removed........................................................44430
950.24 (a), (b)(2)(i), (A), (B), (C), (c)(2)(i) and (ii) amended
8263
Redesignated as 950.17.........................................44430
950.25 (Subpart C) Added...........................................43981
Correctly designated...........................................46049
951 Redesignated from 960...........................................8256
951.1 Amended................................................8263, 17437
951.3 (b)(1)(i), (iii), (v) through (viii) amended..................8263
951.5 (a)(2)(i), (5), (b)(1), (7)(i) and (ii) amended...............8263
951.6 (b)(2)(i), (3) and (4)(i) amended.............................8263
951.7 (a)(1) amended................................................8263
951.8 (b)(2)(i) and (iii) amended...................................8263
(c)(2) amended..................................................8264
951.9 (c) amended...................................................8264
951.10 (b)(1)(ii)(B), (c)(1)(iii) and (d) amended...................8264
951.11 (b) amended..................................................8264
951.12 (a)(1)(ii), (2)(i)(B) and (b)(2) amended.....................8264
951.13 (b)(3)(i), (ii)(A), (B), (b)(4)(i), (ii) and (iii) amended
8264
951.14 (a)(1) amended...............................................8264
951.15 (a)(1) and (2) amended.......................................8264
952 Redesignated from 970...........................................8256
Nomenclature change............................................44431
952.1 Amended.......................................................8264
952.2 Amended................................................8264, 44431
952.3 Amended................................................8264, 44431
952.4 Amended.......................................................8264
952.5 (a)(1), (3), (4), (d)(1), (3) and (4)(ii) amended......8264, 44431

[[Page 690]]

952.6 Amended......................................................44431
955 Redesignated as 996.............................................8256
Added..........................................................43981
956 Added...........................................................8264
Revised........................................................43985
960 Redesignated as 951.............................................8256
Added...........................................................8265
960.1 Regulation at 64 FR 24027 confirmed............................204
OMB number......................................................5419
960.3 Regulation at 64 FR 24027 confirmed............................204
OMB number......................................................5419
960.4 OMB number....................................................5419
960.5 Regulation at 64 FR 24027 confirmed............................204
960.6 Regulation at 64 FR 24028 confirmed............................204
OMB number......................................................5419
960.7 OMB number....................................................5419
960.8 OMB number....................................................5419
960.9 OMB number....................................................5419
960.10 OMB number...................................................5419
960.11 OMB number...................................................5419
960.13 OMB number...................................................5419
960.15 OMB number...................................................5419
961 Redesignated from 938...........................................8256
Nomenclature change............................................44431
961.1 Amended................................................8265, 44431
961.2 (a)(2), (b) and (c)(1) amended................................8265
(a)(2), (c)(1) and (2) revised.................................44431
961.3 (a) introductory text, (2) and (b) amended....................8265
(a) introductory text and (b) amended; (a)(2) revised..........44431
961.4 (a)(1) and (c) amended........................................8265
(a)(1) amended.................................................44431
961.5 (a)(1)(ii), (iii), (iv), (b)(1) and (2) amended...............8265
(a) revised; (b)(2) amended....................................44431
965--969 (Subchapter H) Established.................................8256
965 Added..........................................................36298
966 Redesignated from 910...........................................8256
Revised........................................................36298
966.0 Redesignated as 966.1.........................................8265
966.1 Redesignated as 966.2; new 966.1 redesignated from 966.0 and
amended.....................................................8265
Amended..................................................8266, 43986
966.2 Redesignated as 966.3; new 966.2 redesignated from 966.1;
(a) and (b) amended.........................................8265
966.3 Redesignated as 966.4; new 966.3 redesignated from 966.2 and
amended.....................................................8265
966.4 Redesignated as 966.5; new 966.4 redesignated from 966.3 and
amended.....................................................8265
Amended.........................................................8266
966.5 Redesignated as 966.6; new 966.5 redesignated from 966.4 and
amended.....................................................8265
966.6 Redesignated as 966.7; new 966.6 redesignated from 966.5 and
amended.....................................................8265
Amended.........................................................8266
966.7 Redesignated as 966.8; new 966.7 redesignated from 966.6;
(b)(2) amended..............................................8265
(b) introductory text and (2) amended...........................8266
966.8 Redesignated from 966.7.......................................8265
969 Added...........................................................8266
969.3 Removed......................................................36300
970 Redesignated as 952.............................................8256
975--978 (Subchapter I) Established.................................8256
975 Redesignated from 943...........................................8256
Nomenclature change.............................................8266
975.4 Introductory text amended.....................................8266
977 Added...........................................................8266
978 Added...........................................................8266
980 (Subchapter J) Established......................................8256
Added..........................................................44431
985--989 (Subchapter K) Established.................................8256
985 Redesignated from 941...........................................8256
Revised........................................................36300
985.1 Amended.......................................................8267
985.2 Amended.......................................................8267
985.3 (a) and (b) amended...........................................8267
985.4 (c)(1) amended................................................8267
985.5 Introductory text amended.....................................8267
985.6 (a)(1), (4), (5), (b), (2) and (3) amended....................8267
(a)(4) amended..................................................8268
985.7 Heading, (a), (b), (c) introductory text, (d)(1) through
(4), (e)(1), (2), (3), (f)(1)(i) and (ii) amended...........8267
(c)(2) and (f)(2) introductory text, (i), (ii) and (iii)
amended.............................................................8268
985.8 Heading, (a), (b) introductory text, (c) and (d)(1) amended
8267
985.9 Heading, (a)(1), (2) and (b) amended..........................8267
985.10 Heading, (a)(1) and (b) amended..............................8267

[[Page 691]]

985.11 (b), (c), (d), (e)(1), (2)(i), (ii), (f)(i), (2)(iii), (3)
and (5) amended.............................................8267
985.12 (c) amended..................................................8267
987 Redesignated from 912; heading revised..........................8256
Nomenclature change.............................................8268
987.1 Amended.......................................................8268
987.2 (a) and (b) amended...........................................8268
987.3 (a) introductory text amended.................................8268
987.4 (c)(2) amended................................................8268
987.5 (a) amended...................................................8268
987.6 (b) amended...................................................8268
987.8 (a) and (b) amended...........................................8268
987.9 (a) and (b) amended...........................................8268
989 Redesignated from 937...........................................8256
989.1 Removed.......................................................8268
Added..........................................................36303
989.2 Redesignated as 989.3; new 989.2 added.......................36303
989.3 Redesignated as 989.4; new 989.3 redesignated from 989.2 and
revised....................................................36303
989.4 Redesignated from 989.3......................................36303
Amended........................................................36304
995--997 (Subchapter L) Established.................................8256
995.1 Amended.......................................................8268
995.4 (b) amended...................................................8268
995.7 (a) amended...................................................8268
995.8 (b) amended...................................................8268
(c)(1) and (2) amended..........................................8269
996 Redesignated from 955; heading revised..........................8256
996.1 Amended.......................................................8269
996.2 Amended.......................................................8269
997 Added..........................................................17438
997.5 (a) corrected................................................40492
Chapter XI
1102.306 (a)(2)(iv) correctly designated...........................31960
Chapter XV
1500 Added; interim................................................16477
1501 Added; interim................................................14821
1501.2 Added; interim..............................................15052
1510 Revised; interim..............................................12069
Chapter XVII
1700--1705 (Subchapter A) Heading revised..........................81327
1700.2 (c)(1), (2), (3), (5), (6) and (d) revised; (c)(7) and (8)
added......................................................39787
1702 Redesignated from 1720........................................81327
1702.1 (a) amended.................................................81327
1702.2 Amended.....................................................81327
1702.4 (a), (a)(2), (b)(1) and (d) amended.........................81327
1702.7 (b) amended.................................................81327
1702.8 (b) and (c) amended.........................................81327
1702.9 (a) amended.................................................81327
1702.10 (b) and (d)(2) amended.....................................81327
1702.11 (a)(4) and (b) amended.....................................81327
1702.12 (a) amended................................................81327
1702.13 (a) and (b) amended........................................81327
1703 Redesignated from 1710........................................81327
1703.1 Amended.....................................................81327
1703.12 (a)(1) and (b) amended.....................................81327
1703.13 (a) amended................................................81327
1703.15 (b)(2) and (4) amended.....................................81327
1703.16 (b) amended................................................81327
1703.17 (b) amended................................................81327
1703.18 (b)(1), (c), (d)(2) and (e)(1) amended.....................81327
1703.21 (b) amended................................................81327
1703.22 (a) amended................................................81327
1703.23 (a), (b), (e) and (g) amended..............................81327
1703.24 (a) and (c)(5) amended.....................................81327
1703.34 (c) amended................................................81327
1703.38 (a) amended................................................81327
1703.40 (b) amended................................................81328
1704 Redesignated from 1730........................................81328
1704.1 (a) and (b)(1) through (4) amended..........................81328
1704.2 Amended.....................................................81328
1704.3 (a) amended.................................................81328
1704.21 (b)(9) and (12)(ii) amended................................81328
1704.23 (a)(4) amended.............................................81328
1704.29 (a)(1)(ii), (iii), (iv), (2) and (2)(iii) amended..........81328
1704.32 (a) amended................................................81328
1704.41 Amended....................................................81328
1704.42 Amended....................................................81328
1704.51 (c) amended................................................81328
1705 Redesignated from 1735........................................81328
1705.3 (a) and (b)(1) amended......................................81328
1705.5 (a) amended.................................................81328
1705.10 (a), (a)(3), (b) and (c) amended...........................81328
1705.11 (a) amended................................................81328
1705.21 (a) amended................................................81328
1705.22 Amended....................................................81328
1705.25 Amended....................................................81328
1705.26 (a), (b), (d) and (e) amended..............................81328
1705.27 Amended....................................................81328
1710 Redesignated as 1703..........................................81327
1710.2 (j) amended.................................................55171
1710.7 (c) amended.................................................55171
1710.11 Revised....................................................55171

[[Page 692]]

1710.12 Revised....................................................55172
1710.13 (a) revised................................................55172
1710.14 (c) amended................................................55173
1710.15 (b)(2) and (3) redesignated as (b)(3) and (4); new (b)(2)
added......................................................55173
1710.16 (a), (b) and (d) revised...................................55173
1710.17 Revised....................................................55173
1710.18 (b)(1), (c), (d)(2), (e)(1) and (i)(3) amended.............55174
1710.21 (b) and (f) revised........................................55174
1710.22 Revised....................................................55174
1710.23 (g) revised................................................55174
1710.38 (a) revised................................................55175
1720 Redesignated as 1702..........................................81327
1730 Redesignated as 1704..........................................81328
1735 Added.........................................................26732
Redesignated as 1705...........................................81328
1750--1770 (Subchapter C) Added....................................81329
1780 (Subchpater D) Added..........................................81329
Chapter XVIII
1805 Revised.......................................................49645




[[Page 693]]



Redesignation Table I



At 51 FR 36684, Oct. 15, 1986, part 304 was revised. In order to enable
readers to check the completeness, accuracy, and reasoning behind
revised part 304, the following Derivation and Distribution Tables are
set forth below.

Derivation Table
------------------------------------------------------------------------
New section                          Old section
------------------------------------------------------------------------
304.1--new
304.2..................................  304.3 introductory paragraph.
304.3 introductory paragraph...........  304.1.
304.3(a)...............................  304.3(r).
304.3(b)...............................  304.3(s).
304.3(c)...............................  304.3(t).
304.3(d)...............................  304.3(u).
304.4 introductory paragraph...........  304.2.
304.4(a)...............................  304.3(m), 304.3(o)
304.4(b)...............................  304.3(n), 304.3(p).
304.5 introductory paragraph--new......  ...............................
304.5(a)...............................  304.3(q).
304.5(b)...............................  304.3(v).
304.5(c)...............................  304.3(l).
304.5(d)...............................  304.3(x).
304.5(e)...............................  304.3(y).
304.6(a)(1)............................  304.4(a)(1).
304.5(a)(2)............................  304.4(a)(2).
304.5(b)(1)............................  304.4(b)(1).
304.5(b)(2)............................  304.4(b)(2).
304.6(b)(3)............................  304.4(b)(3).
304.6(b)(4)............................  304.4(b)(4).
304.6(b)(5)............................  304.4(b)(5).
304.6(b)(6)............................  304.4(b)(6).
304.7--new.............................  ...............................
------------------------------------------------------------------------


Distribution Table
------------------------------------------------------------------------
Old section                          New section
------------------------------------------------------------------------
304.1..................................  304.3 introductory paragraph.
304.2..................................  304.4 introductory paragraph.
304.3 introductory paragraph...........  304.2.
304.3(a)-(k)...........................  Unnecessary.
304.3(l)...............................  304.5(c).
304.3(m)...............................  304.4(a).
304.3(n)...............................  304.4(b).
304.3(o)...............................  304.4(a).
304.3(p)...............................  304.4(b).
304.3(q)...............................  304.5(a).
304.3(r)...............................  304.3(a).
304.3(s)...............................  304.3(b).
304.3(t)...............................  304.3(c).
304.3(u)...............................  304.3(d).
304.3(v)...............................  304.5(b).
304.3(w)...............................  Obsolete.
304.3(x)...............................  304.5(d).
304.3(y)...............................  304.5(e).
304.3(a)(1)............................  304.6(a)(1).
304.3(a)(2)............................  304.6(a)(2).
304.4(b)(1)............................  304.6(b)(1).
304.4(b)(2)............................  304.6(b)(2).
304.4(b)(3)............................  304.6(b)(3).
304.4(b)(4)............................  304.6(b)(4).
304.4(b)(5)............................  304.6(b)(5).
304.4(b)(6)............................  304.6(b)(6).
304.4(c)...............................  Unnecessary.
304.4(d)...............................  304.7.
------------------------------------------------------------------------





[[Page 694]]



Redesignation Table II



The following table shows the effect of recodification on the
regulations contained in 12 CFR part 303 which were revised and
redesignated at 52 FR 35411, Sept. 21, 1987.

Note.--Derivation Table
------------------------------------------------------------------------
New section                   Old section (as revised)
------------------------------------------------------------------------
303.0(a)..................................  303.0(a).
303.0(b)(1) through (3) new
303.0(b)(4)...............................  303.0(b)(1).
303.0(b)(5) through (6) new
303.0(b)(7)...............................  303.0(b)(2).
303.0(b)(8) through (16) new
303.0(b)(17)..............................  303.2(c)(1).
303.0(b)(18) through (23) new
303.0(b)(24)..............................  303.0(b)(3).
303.2(c)(1)...............................  303.2(c)(2)(i).
303.2(c)(2)...............................  303.2(c)(2)(ii).
303.6(b)..................................  303.6(b).
303.6(e)(1)...............................  303.6(e).
303.6(e)(2)...............................  303.6(e).
303.6(l)..................................  303.6(m).
303.6(m)..................................  303.6(n).
303.7(a)(1)(i) through (ii)...............  303.7(a)(6), (c)(1).
303.7(a)(1)(iii)..........................  303.7(c)(1)(i)(A) through
(D), (iii).
303.7(a)(1)(iv)...........................  303.10(a).
303.7(a)(2)(i) through (ii) new
303.7(a)(2)(iii)..........................  303.7(c)(6)(ii).
303.7(b)(1) through (2) new
303.7(b)(3)...............................  303.7(c)(5)(i).
303.7(b)(4) through (5) new
303.7(c)(1) through (2)...................  303.7(c)(8).
303.7(c)(3)...............................  303.8(g).
303.7(d)(1)...............................  303.7(c)(2).
303.7(d)(2)...............................  303.7(c)(4).
303.7(d)(3)...............................  303.7(c)(3).
303.7(d)(4)...............................  303.10(a).
303.7(e)(1)...............................  303.7(c)(9).
303.7(e)(2) new
303.7(f)..................................  303.7(a)(1) through (5),
(b).
303.8(a)..................................  303.7(c)(1).
303.8(b)(1)...............................  303.11(b).
303.8(b)(2)...............................  303.11(c).
303.8(c)..................................  303.11(d).
303.8(d)..................................  303.11(e).
303.8(e)(1)...............................  303.11(f).
303.8(e)(2)...............................  303.11(g).
303.8(f)..................................  303.11(h).
303.8(g)..................................  303.11(j).
303.9(a) through (e) new
303.9(f)..................................  303.12(d).
303.9(g)(1) new
303.9(g)(2)...............................  303.12(e).
303.9(h)..................................  303.12(c)(10).
303.9(i) new
303.9(j)..................................  303.12(c)(12).
303.9(k)(1)...............................  303.12(a).
303.9(k)(2) new
303.9(k)(3)...............................  303.12(c)(3)(i).
303.9(k)(4) through (6) new
303.9(l)..................................  303.12(b).
303.10(a)(1)..............................  303.11(a).
303.10(a)(2)..............................  303.10(b).
303.10(b) through (c) new
303.11(a)(1)..............................  303.9(a).
303.11(a)(2)..............................  303.7(c).
303.11(b)(1)..............................  303.9(b)(1).
303.11(b)(2)(i)...........................  303.9(b)(1).
303.11(b)(2)(ii) new
303.11(b)(2)(iii).........................  303.9(b)(2).
303.11(c).................................  303.12(c)(7).
303.12....................................  303.13.
------------------------------------------------------------------------





[[Page 695]]



Redesignation Table III



The following table shows the relationship of former CFR part and
section numbers under 12 CFR chapter V and new part and section numbers
in 12 CFR chapter III, which were redesignated at 54 FR 42801, Oct. 18,
1989.

Note.--Derivation Table
------------------------------------------------------------------------
Former section numbers                 New section numbers
------------------------------------------------------------------------
Part 548..................................  Part 382
Part 549..................................  Part 383
Part 562..................................  Part 384
563.8-2...................................  385.5
563.15....................................  385.6
563.16....................................  385.7
563.16-2..................................  385.8
563.28....................................  385.9
563.29-1..................................  385.1
563.30....................................  385.2
563.31....................................  385.3
563.36....................................  385.4
Part 564..................................  Part 386
564.1.....................................  386.1
564.2.....................................  386.2
564.3.....................................  386.3
564.4.....................................  386.4
564.5.....................................  386.5
564.6.....................................  386.6
564.7.....................................  386.7
564.8.....................................  386.8
564.9.....................................  386.9
564.10....................................  386.10
564.11....................................  386.11
Appendix to Part 564......................  Appendix to Part 386
Part 565..................................  Part 387
569a.4....................................  388.1
569a.5....................................  388.2
569a.6....................................  388.3
569a.7....................................  388.4
569a.8....................................  388.5
569a.9....................................  388.6
569a.10...................................  388.7
569a.11...................................  388.8
569a.12...................................  388.9
569a.13...................................  388.10
Part 569c.................................  Part 389
570.12....................................  386.12
570.13....................................  386.13
Part 572..................................  Part 390
Part 572a.................................  Part 391
Part 575..................................  Part 392
Part 575a.................................  Part 393
Part 576..................................  Part 394
Part 577..................................  Part 395
Part 578..................................  Part 396
------------------------------------------------------------------------





[[Page 696]]



Redesignation Table IV



The Office of Thrift Supervision, Department of the Treasury,
reorganized chapter V at 54 FR 49420, November 30, 1989. The following
Distribution Table shows the relationship of former section numbers
within chapter V to the new section numbers.

----------------------------------------------------------------------------------------------------------------
Previous section       Previous title        New section                         New title
----------------------------------------------------------------------------------------------------------------
PART 500

500.1................  General statement     500.1............  General statement and statutory authority.
and statutory
authority.
500.2................  The Federal Home      Removed..........  ................................................
Loan Bank system.
500.3................  The Federal savings   500.3............  The Federal savings association system.
and loan system.
500.4................  The Federal Savings   Removed..........  ................................................
and Loan Insurance
Corporation.
....................  500.4............  Supervision and regulation of savings
associations.
500.5................  District of Columbia  500.5............  District of Columbia savings associations.
savings and loan
associations.
500.6................  General statement     500.6............  General statement concerning gender-related
concerning gender-                       terminology.
related terminology.
500.10...............  The Board...........  Removed..........  ................................................
....................  500.10...........  The Office.
500.11...............  Secretary to the      500.11...........  Secretary to the Office.
Board.
500.12...............  Congressional         500.12...........  Senior Deputy Director for Congressional
Liaison Officer.                         Relations and Communications.
500.13...............  Director of the       500.13...........  Senior Deputy Director for Management.
Office of
Management Systems
and Administration.
500.14...............  Director of the       500.14...........  Chief Economist.
Office of Economic
Research.
500.15...............  Director of the       Removed..........  ................................................
Office of
Enforcement.
500.16...............  Director of the       Removed..........
Office of
Communications.
500.17...............  The General Counsel.  500.17...........  The Chief Counsel.
500.19...............  Director of the       Removed..........  ................................................
Office of District
Banks.
500.19...........  Senior Deputy Director for Supervision
(Operations).
500.20...............  Director of the       Removed..........
Office of the
Federal Savings and
Loan Insurance
Corporation.
500.20...........  Senior Deputy Director for Supervision (Policy).
500.22...............  Director of the       Removed..........  ................................................
Office of Housing
and Urban Affairs.
500.30...............  General statement     500.30...........  General statement concerning procedures and
concerning                               forms.
procedures and
forms.
500.31...............  Forms...............  Removed..........  ................................................
500.32...............  Offices of the        500.32...........  Offices of the Office of Thrift Supervision;
Board; information                       information and submittals.
and submittals.
500.40...............  Director of the       Removed..........  ................................................
Office of the
Federal Savings and
Loan Insurance
Corporation.

PART 501

501.1................  Claims of the Board   Removed..........  ................................................
and the Federal
Savings and Loan
Insurance
Corporation.
501.2................  Assessments.........  Removed..........  ................................................
501.10...............  Officers as agents..  Removed..........  ................................................
501.11...............  Designation of        Removed..........
principal
supervisory agent
and supervisory
agents.

PART 502

502.1............  Interim assessments and fees.

PART 505

505.1................  Basis and scope.....  505.1............  Basis and scope.
505.2................  Definitions.........  Removed..........  ................................................
505.2............  Public reading room.
505.3................  Published             Removed..........  ................................................
information.

[[Page 697]]


505.3............  Requests for records.
505.4................  Access to records...  Removed..........  ................................................
....................  505.4............  Administrative appeal of initial determination
to deny records.
505.5................  Information not       Removed..........  ................................................
disclosed.
....................  505.5............  Delivery of process.
505.6................  Subpoenas...........  Removed..........

PART 505a                                   PART 503

505a.1...............  Purpose and scope...  503.1............  Scope and procedures.
505a.2...............  Definitions as used   Removed..........  ................................................
in this part 505a.
505a.3...............  Procedures or         Removed..........  ................................................
requests pertaining
to individual
records in a record
system.
505a.4...............  Times, places, and    Removed..........  ................................................
requirements for
identification of
individuals making
requests.
505a.5...............  Disclosure of         Removed..........  ................................................
requested
information to
individuals.
505a.6...............  Special procedures    Removed..........  ................................................
for medical records.
505a.7...............  Request for           Removed..........  ................................................
amendment of record.
505a.8...............  Agency review of      Removed..........  ................................................
request for
amendment of record.
505a.9...............  Appeals.............  Removed..........  ................................................
505a.10..............  Fees for providing    Removed..........  ................................................
copies of records.
505a.11..............  Criminal penalties..  Removed..........  ................................................
505a.12..............  Exemptions..........  Removed..........  ................................................
505a.13..............  Exemptions of         Removed..........  ................................................
records containing
investigatory
material compiled
for law enforcement
purposes.

PART 505b

505b.1...............  Purpose and scope...  Removed..........  ................................................
505b.2...............  Definitions.........  Removed..........  ................................................
505b.3...............  Open meetings.......  Removed..........  ................................................
505b.4...............  Exemptions..........  Removed..........  ................................................
505b.5...............  Closed meetings.....  Removed..........  ................................................
505b.6...............  Public announcements  Removed..........  ................................................
of meetings.
505b.7...............  Accommodation for     Removed..........  ................................................
public attendance
at open meetings.

PART 505c                                   PART 504

505c.1...............  Purpose and scope...  504.1............  Purpose and scope.
505c.2...............  Policy..............  504.2............  Policy.
505c.3...............  Administration of     504.3............  Administration of program.
program.
505c.4...............  Mandatory review      504.4............  Mandatory review procedure.
procedure.

PART 505d

505d.1...............  OMB control numbers   Removed..........  ................................................
assigned pursuant
to the Paperwork
Reduction Act.

PART 506                                   PART 910

506.1................  Issuance of           Removed..........  (FHFB-910.1).
consolidated bonds.
506.2................  Form of consolidated  Removed..........  (FHFB-910.2).
bonds.
506.3................  Transactions in       Removed..........  (FHFB-910.3).
consolidated bonds.
506.4................  Lost, stolen,         Removed..........  (FHFB-910.4).
destroyed,
mutilated, or
defaced bonds.
506.5................  Administrative        Removed..........  (FHFB-910.5).
provision.
506.6................  Reservation of right  Removed..........  (FHFB-910.6).
to revoke or amend;
limitation thereon.

PART 506a                                   PART 912

506a.1...............  Definition of terms.  Removed..........  (FHFB-912.1).
506a.2...............  Authority of Reserve  Removed..........  (FHFB-912.2).
Banks.
506a.3...............  Scope and effect of   Removed..........  (FHFB-912.3).
book-entry
procedure.
506a.4...............  Transfer or pledge..  Removed..........  (FHFB-912.4).
506a.5...............  Withdrawal of         Removed..........  (FHFB-912.5).
Federal Home Loan
Bank Securities.
506a.6...............  Delivery of Federal   Removed..........  (FHFB-912.6).
Home Loan Bank
Securities.
506a.7...............  Registered bonds and  Removed..........  (FHFB-912.7).
notes.
506a.8...............  Servicing book-entry  Removed..........  (FHFB-912.8).
Federal Home Loan
Bank securities;
payment of
interest; payment
at maturity or on
call.
506a.9...............  Obligation of United  Removed..........  (FHFB-912.9).
States with respect
to Federal Home
Loan Bank
securities.

PART 507


[[Page 698]]


507.10...............  Hearings on           Removed..........  ................................................
regulations for
Federal Home Loan
Banks.
507.11...............  Recommendations and   Removed..........  ................................................
representations at
hearings by.

PART 508

508.10...............  Reservation of right  510.2(a).........  Amendments.
to amend.
508.10-1.............  Waiver or relaxation  510.2(b).........  Waiver or relaxation of regulatory provisions
of regulatory                            with respect to disaster or emergency areas.
provisions with
respect to disaster
or emergency areas.
508.11...............  Amendments of         Removed..........  ................................................
regulations without
notice.
508.12...............  Notice of proposed    Removed..........  ................................................
amendments or
regulations not
within Sec.
508.11.
508.13...............  Participation of      510.2(c).........  Bar on participation in notice and comment
interested persons                       rulemaking by suspended or disbarred persons.
in a proposed
amendment or rule.
508.14...............  Effective dates of    Removed..........  ................................................
amendments and
rules.
508.15...............  Repeal of rules and   Removed..........  ................................................
regulations.
508.16...............  Coordination of       510.3............  Coordination of chapters.
chapters.

PART 509

509.1................  Scope of regulations  509.1............  Scope of regulations.
509.2................  Definitions.........  509.2............  Definitions.
509.3................  Appointment of        509.3............  Appointment of Administrative Law Judge.
Administrative Law
Judge.
509.4................  Authority of the      509.4............  Authority of the Administrative Law Judge.
Administrative Law
Judge.
509.5................  Appearance and        509.5............  Appearance and practice in adjudicatory
practice in                              proceedings.
adjudicatory
proceedings.
509.6................  Good faith            509.6............  Good faith certification.
certification.
509.7................  Ex parte              509.7............  Ex parte communications.
communications.
509.8................  Maintenance of the    509.8............  Maintenance of the record.
record.
509.9................  Service.............  509.9............  Service.
509.10...............  Filing of papers....  509.10...........  Filing of papers.
509.11...............  Formal requirements   509.11...........  Formal requirements as to papers filed.
as to papers filed.
509.12...............  Computing time......  509.12...........  Computing time.
509.13...............  Notice..............  509.13...........  Notice.
509.14...............  Answer..............  509.14...........  Answer.
509.15...............  Amending pleadings..  509.15...........  Amending pleadings.
509.16...............  Consolidation and     509.16...........  Consolidation and severance of proceedings.
severance of
proceedings.
509.17...............  Motions.............  509.17...........  Motions.
509.18...............  Interlocutory review  509.18...........  Interlocutory review.
509.19...............  Prehearing            509.19...........  Prehearing conference and exchange of
conference and                           information.
exchange of
information.
509.20...............  Opportunity for       509.20...........  Opportunity for informal settlement.
informal settlement.
509.21...............  Discovery...........  509.21...........  Discovery.
509.22...............  Subpoenas for         509.22...........  Subpoenas for documentary or physical evidence
documentary or                           or for witness attendance.
physical evidence
or for witness
attendance.
509.23...............  Depositions.........  509.23...........  Depositions.
509.24...............  Conduct of hearings.  509.24...........  Conduct of hearings.
509.25...............  Private and public    509.25...........  Private and public hearings.
hearings.
509.26...............  Summary disposition.  509.26...........  Summary disposition.
509.27...............  Proposed findings of  509.27...........  Proposed findings of fact and conclusions of
fact and                                 law.
conclusions of law.
509.28...............  Briefs..............  509.28...........  Briefs.
509.29...............  Exceptions..........  509.29...........  Exceptions.
509.30...............  Oral argument before  509.30...........  Oral argument before the Office.
the Board.
509.31...............  Notice of submission  509.31...........  Notice of submission to the Office.
to the Board.
509.32...............  Decision of the       509.32...........  Decision of the Office.
Board.
509.33...............  Scope...............  509.33...........  Scope.
509.34...............  Notice of             509.34...........  Notice of assessment; request for hearing;
assessment; request                      answer.
for hearing; answer.
509.35...............  Notice of hearing...  509.35...........  Notice of hearing.
509.36...............  Assessment orders...  509.36...........  Assessment orders.
509.37...............  Payment of civil      509.37...........  Payment of civil penalty.
penalty.
509.38...............  Relevant              509.38...........  Relevant considerations.
considerations.

PART 509a                                   PART 508

509a.1...............  Scope...............  508.1............  Scope.
509a.2...............  Definitions.........  508.2............  Definitions.
509a.3...............  Issuance of Notice    508.3............  Issuance of Notice or Order.
or Order.
509a.4...............  Contents and service  508.4............  Contents and service of the Notice or Order.
of the Notice or
Order.
509a.5...............  Petition for hearing  508.5............  Petition for hearing.
509a.6...............  Initiation of         508.6............  Initiation of hearing.
hearing.
509a.7...............  Conduct of hearings.  508.7............  Conduct of hearings.
509a.8...............  Default.............  508.8............  Default.

[[Page 699]]


509a.9...............  Rules of evidence...  508.9............  Rules of evidence.
509a.10..............  Burden of persuasion  508.10...........  Burden of persuasion.
509a.11..............  Relevant              508.11...........  Relevant considerations.
considerations.
509a.12..............  Proposed findings     508.12...........  Proposed findings and conclusions and
and conclusions and                      recommended decision.
recommended
decision.
509a.13..............  Decision of the       508.13...........  Decision of the Office.
Board.
509a.14..............  Miscellaneous.......  508.14...........  Miscellaneous.

PART 509b        [Previously Removed]  .................  ................................................

PART 510

510.1................  Provisions relating   510.1............  Provisions relating to ex parte communications.
to ex parte
communications.

PART 510a                                   PART 515

510a.1...............  Purpose and scope...  515.1............  Purpose and scope.
510a.2...............  Contact person for    515.2............  Contact person for missing children photographs
missing children                         on penalty mail.
photographs on
penalty mail.
510a.3...............  Policy and            515.3............  Policy and implementation.
implementation.
510a.4...............  Responsibility of     515.4............  Responsibility of Board administrative unit for
Board                                    implementation and procedure governing use of
administrative unit                      penalty mail in location of missing children.
for implementation
and procedure
governing use of
penalty mail in
location of missing
children.
510a.5...............  Exceptions to use of  515.5............  Exceptions to use of missing children
missing children                         photographs and biographical data on penalty
photographs and                          mail.
biographical data
on penalty mail.
510a.6...............  Expiration date.....  515.6............  Expiration date.

PART 511

511.735-1............  Purpose.............  Removed..........
511.735-2............  Definition..........  Removed..........
511.735-3............  Effective date and    Removed..........
distribution.
511.735-4............  Counseling..........  Removed..........
511.735-10...........  General prohibitions  Removed..........
511.735-11...........  Gifts,                Removed..........
entertainment,
favors and loans.
511.735-12...........  Soliciting            Removed..........
contributions;
accepting and
giving gifts.
511.735-13...........  Accepting gifts from  Removed..........
foreign governments.
511.735-14...........  Outside employment    Removed..........
and other
activities.
511.735-15...........  Receipt of salary or  Removed..........
compensation for
service to Agency.
511.735-16...........  Payments to Board     Removed..........  ................................................
Members.
511.735-17...........  Financial interest..  Removed..........  ................................................
511.735-18...........  Use of Agency         Removed..........  ................................................
property.
511.735-19...........  Misuse of             Removed..........  ................................................
information.
511.735-20...........  Indebtedness........  Removed..........  ................................................
511.735-21...........  Gambling, betting     Removed..........  ................................................
and lotteries.
511.735-22...........  General conduct       Removed..........  ................................................
prejudicial to the
Government.
511.735-25...........  Use of Agency         Removed..........  ................................................
employment.
511.735-26...........  Use of inside         Removed..........  ................................................
information.
511.735-27...........  Coercion............  Removed..........  ................................................
511.735-28...........  Gifts, entertainment  Removed..........  ................................................
and favors.
511.735-29...........  Other provisions      Removed..........  ................................................
applicable to
special Government
employees.
511.735-35...........  Filing and review of  Removed..........  ................................................
statements of
employment and
financial interests.
511.735-36...........  Employees required    Removed..........  ................................................
to submit
statements.
511.735-36a..........  Employees complaint   Removed..........  ................................................
on filing
requirement.
511.735-37...........  Board Members not     Removed..........  ................................................
required to submit
statements.
511.735-38...........  Time and place for    Removed..........  ................................................
submission of
employees'
statements.
511.735-39...........  Supplementary         Removed..........  ................................................
statements.
511.735-40...........  Interests of          Removed..........  ................................................
employees'
relatives.
511.735-41...........  Information not       Removed..........  ................................................
known by employees.
511.735-42...........  Information not       Removed..........  ................................................
required.
511.735-43...........  Effect of employees'  Removed..........  ................................................
statements on other
requirements.
511.735-44...........  Specific provisions   Removed..........  ................................................
of Agency
regulations for
special.
511.735-50...........  Reporting unresolved  Removed..........  ................................................
conflicts of
interest.
511.735-51...........  Opportunity to be     Removed..........  ................................................
heard.
511.735-52...........  Action by the         Removed..........  ................................................
Chairman.

[[Page 700]]


511.735-53...........  Violations of this    Removed..........  ................................................
part cause for
disciplinary action.
511.735-54...........  Remedial action to    Removed..........  ................................................
be effected in
accordance with law
and regulation.
511.735-55...........  Miscellaneous         Removed..........  ................................................
statutory
provisions.
511.737-1............  Applicable            Removed..........  ................................................
provisions of law.
511.737-2............  Enforcement           Removed..........  ................................................
proceedings.

512.1................  Scope of part.......  512.1............  Scope of part.
512.2................  Definitions.........  512.2............  Definitions.
512.3................  Confidentiality of    512.3............  Confidentiality of proceedings.
proceedings.
512.4................  Transcripts.........  512.4............  Transcripts.
512.5................  Rights of witnesses.  512.5............  Rights of witnesses.
512.6................  Obstruction of the    512.6............  Obstruction of the proceedings.
proceedings.
512.7................  Subpoenas...........  512.7............  Subpoenas.

PART 513

513.1................  Scope of part.......  513.1............  Scope of part.
513.2................  Definitions.........  513.2............  Definitions.
513.3................  Who may practice....  513.3............  Who may practice.
513.4................  Suspension and        513.4............  Suspension and debarment.
debarment.
513.5................  Reinstatement.......  513.5............  Reinstatement.
513.6................  Duty to file          513.6............  Duty to file information concerning adverse
information                              judicial or administrative action.
concerning adverse
judicial or
administrative
action.
513.7................  Proceeding under      513.7............  Proceeding under this part.
this part.

PART 514

514.1................  Scope...............  Removed..........  ................................................
514.2................  Definitions.........  Removed..........  ................................................
514.3................  Duties and            Removed..........  ................................................
responsibilities of
the Advisory
Committee.
514.4................  Membership..........  Removed..........  ................................................
514.5................  Vacancies...........  Removed..........  ................................................
514.6................  Chairperson           Removed..........  ................................................
responsibilities
and duties.
514.7................  Meeting procedures..  Removed..........  ................................................
514.8................  Travel expense        Removed..........  ................................................
reimbursement.
514.9................  Conflict of interest  Removed..........  ................................................
and disclosure of
sensitive
information.
514.10...............  Advisory Committee    Removed..........  ................................................
responsibility for
safe-guarding
sensitive
information.
514.11...............  Execution of          Removed..........  ................................................
agreement with
Corporation.

PART 516

516.100..............  Purpose.............  Removed..........  ................................................
516.105..............  Definitions.........  Removed..........  ................................................
516.110..............  Coverage............  Removed..........  ................................................
516.115..............  Policy..............  Removed..........  ................................................
516.200..............  Debarment or          Removed..........  ................................................
suspension.
516.205..............  Ineligible persons..  Removed..........  ................................................
516.210..............  Voluntary exclusion.  Removed..........  ................................................
516.215..............  Exception provision.  Removed..........  ................................................
516.220..............  Continuation of       Removed..........  ................................................
covered
transactions.
516.225..............  Failure to adhere to  Removed..........  ................................................
restrictions.
516.300..............  General.............  Removed..........  ................................................
516.305..............  Causes for debarment  Removed..........  ................................................
516.310..............  Procedures..........  Removed..........  ................................................
516.311..............  Investigation and     Removed..........  ................................................
referral.
516.312..............  Notice of proposed    Removed..........  ................................................
debarment.
516.313..............  Opportunity to        Removed..........  ................................................
contest proposed
debarment.
516.314..............  Debarring official's  Removed..........  ................................................
decision.
516.315..............  Settlement of         Removed..........  ................................................
voluntary exclusion.
516.320..............  Period of debarment.  Removed..........  ................................................
516.325..............  Scope of debarment..  Removed..........  ................................................
516.400..............  General.............  Removed..........  ................................................
516.405..............  Causes for            Removed..........  ................................................
suspension.
516.410..............  Procedures..........  Removed..........  ................................................
516.411..............  Notice of suspension  Removed..........  ................................................
516.412..............  Opportunity to        Removed..........  ................................................
contest suspension.
516.413..............  Suspending            Removed..........  ................................................
official's decision.
516.415..............  Period of suspension  Removed..........  ................................................
516.420..............  Scope of suspension.  Removed..........  ................................................
516.500..............  GSA responsibilities  Removed..........  ................................................
516.505..............  Board                 Removed..........  ................................................
responsibilities.
516.510..............  Participants'         Removed..........  ................................................
responsibilities.

[[Page 701]]


516.600..............  Purpose.............  Removed..........  ................................................
516.605..............  Definitions.........  Removed..........  ................................................
516.610..............  Coverage............  Removed..........  ................................................
516.615..............  Grounds for           Removed..........  ................................................
suspension of
payments,
suspension or
termination of
grants, or
suspension or
debarment.
516.620..............  Effect of violation.  Removed..........  ................................................
516.625..............  Exception provision.  Removed..........  ................................................
516.630..............  Grantees'             Removed..........  ................................................
responsibilities.
Appendix A...........  Certification         Removed..........  ................................................
regarding
debarment,
suspension, and
other
responsibility
matters--Primary
covered transaction.
Appendix B...........  Certification         Removed..........  ................................................
regarding
debarment,
suspension,
ineligibility and
voluntary
exclusion--Lower
tier covered
transactions.
Appendix C...........  Certification         Removed..........  ................................................
regarding drug-free
workplace
requirements.

PART 521                                   PART 931

521.1................  Act.................  Removed..........  (FHFB-931.1).
521.2................  Bank................  Removed..........  (FHFB-931.2).
521.3................  Board...............  Removed..........  (FHFB-931.3).
521.4................  Creditor liabilities  Removed..........  (FHFB-931.4).
521.5................  Deposits in banks or  Removed..........  (FHFB-931.5).
trust companies.
521.6................  Home mortgage.......  561.23...........  Home mortgage.
521.6-1..............  Home................  Removed..........  (FHFB-931.7).
521.6-2..............  Other dwelling unit.  Removed..........  (FHFB-931.8).
521.7................  Member..............  Removed..........  (FHFB-931.9).
521.8................  [Previously Removed]  .................  ................................................
521.9................  Obligations of the    Removed..........  (FHFB-931.11).
United States.
521.10...............  Paid-in value of      Removed..........  (FHFB-931.12).
stock in a Bank.
521.11...............  State...............  Removed..........  (FHFB-931.13).

PART 522                                   PART 932

522.1................  Charter.............  Removed..........  (FHFB-932.1).
522.5................  Par value and price   Removed..........  (FHFB-932.2).
of stock.
522.6................  Dividends...........  Removed..........  (FHFB-932.3).
522.10...............  Issuance and form of  Removed..........  (FHFB-932.4).
stock.
522.11...............  Stock in              Removed..........  (FHFB-932.5).
consolidations.
522.12...............  Stock in              Removed..........  (FHFB-932.6).
reorganizations.
522.13...............  Loss or destroyed     Removed..........  (FHFB-932.7).
certificates.
522.20...............  General.............  Removed..........  (FHFB-932.8).
522.21...............  Director              Removed..........  (FHFB-932.9).
representing Puerto
Rico.
522.22...............  Definition of member  Removed..........  (FHFB-932.10).
522.23...............  Location of member..  Removed..........  (FHFB-932.11).
522.24...............  Report of stock       Removed..........  (FHFB-932.12).
investment.
522.25...............  Designation and       Removed..........  (FHFB-932.13).
nomination of
elective
directorship.
522.26...............  Election of           Removed..........  (FHFB-932.14).
directors.
522.26a..............  Special provisions    Removed..........  ................................................
for election of
directors during
calendar year 1988.
522.27...............  Prohibition of        Removed..........  (FHFB-932.15).
actions influencing
votes.
522.28...............  Definition of         Removed..........  (FHFB-932.16).
``State''.
522.30...............  Special scheduling    Removed..........  ................................................
provisions for
election of
directors during
calendar year 1989.
522.60...............  Compensation........  Removed..........  (FHFB-932.27).
522.61...............  Duties..............  Removed..........  (FHFB-932.28).
522.62...............  Responsibility of     Removed..........  (FHFB-932.29).
bank directors.
522.70...............  Selection...........  Removed..........  (FHFB-932.40).
522.71...............  Compensation........  Removed..........  (FHFB-932.41).
522.72...............  Indemnification.....  Removed..........  (FHFB-932.42).
522.73...............  Restrictions as to    Removed..........  (FHFB-932.43).
former employees.
522.75...............  General.............  Removed..........  (FHFB-932.50).
522.76...............  President...........  Removed..........  (FHFB-932.51).
522.80...............  General.............  Removed..........  (FHFB-932.55).
522.81...............  Functions of Office   Removed..........  (FHFB-932.56).
of Finance.
522.82...............  Budget and expenses.  Removed..........  (FHFB-932.57).
522.83...............  [Previously Revoked]  .................  ................................................
522.85...............  General.............  Removed..........  (FHFB-932.60).
522.86...............  Functions and duties  Removed..........  (FHFB-932.61).
of Office of
Neighborhood
Reinvestment.
522.87...............  Budget and expenses.  Removed..........  (FHFB-932.62).
522.90...............  Office of Regulatory  Removed..........  (FHFB-932.65).
Policy, Oversight,
and Supervision.


[[Page 702]]


PART 523                                   PART 933

523.1................  Application form....  Removed..........  (FHFB-933.1).
523.2................  [Previously Removed]  .................  ................................................
523.3................  Board action on       Removed..........  (FHFB-933.3).
applications.
523.3-1..............  Automatic board       Removed..........  (FHFB-933.4).
approval in certain
cases.
523.3-2..............  Membership at         Removed..........  (FHFB-933.5).
principal place of
business
designation,
transfer of
membership.
523.3-3..............  Delegations.........  Removed..........  (FHFB-933.6).
523.4................  Subscription........  Removed..........  (FHFB-933.7).
523.5................  Additional            Removed..........  (FHFB-933.8).
subscription.
523.6................  Adjustments in        Removed..........  (FHFB-933.9).
holdings.
523.7................  Excess subscription.  Removed..........  (FHFB-933.10).
523.8................  Payment on            Removed..........  (FHFB-933.11).
subscription.
523.9................  [Previously Deleted]  .................  ................................................
523.10...............  Definitions for       566.1............  Definitions.
purposes of this
Section, Sec.
523.11 and Sec.
523.12.
523.11...............  Liquidity             566.2............  Requirements.
requirements.
523.12...............  Deficiencies and      566.3............  Deficiencies and penalties.
penalties.
523.13...............  Reports; records....  566.4............  Reports; records.
523.14...............  Payment of penalty..  566.5............  Payment of penalty.
523.15...............  Reports.............  Removed..........  (FHFB-933.18).
523.20...............  Examinations of       Removed..........  (FHFB-933.22).
members.
523.25...............  Official membership   Removed..........  (FHFB-933.27).
insignia.
523.29...............  Flood disaster        563.48...........  Flood disaster protection.
protection.
523.30...............  Procedure for         Removed..........  (FHFB-933.32).
withdrawal.
523.31...............  Procedure for         Removed..........  (FHFB-933.33).
removal.
523.32...............  [Previously Deleted]  .................  ................................................

PART 524                                   PART 934

524.1................  Investments.........  Removed..........  (FHFB-934.1).
524.2................  Loans guaranteed      Removed..........  (FHFB-934.2).
under the Foreign
Assistance Act of
1961.
524.3................  Transfer of funds     Removed..........  (FHFB-934.3).
between banks.
524.4................  Deposits from         Removed..........  (FHFB-934.4).
members.
524.5................  Trustee powers......  Removed..........  (FHFB-934.5).
524.6................  Budgets.............  Removed..........  (FHFB-934.6).
524.7................  Surety bonds........  Removed..........  (FHFB-934.7).
524.8................  Insurance...........  Removed..........  (FHFB-934.8).
524.9................  Safe-keeping          Removed..........  (FHFB-934.9).
accounts.
524.10...............  Securities held in    Removed..........  (FHFB-934.10).
trust or as
collateral.
524.11...............  Donations...........  Removed..........  (FHFB-934.11).
524.12...............  Accounting..........  Removed..........  (FHFB-934.12).
524.13...............  Gold and gold-        Removed..........  (FHFB-934.13).
related
transactions.

PART 525--ADVANCES                              PART 935

525.1................  Limitations on        Removed..........  (FHFB-935.1).
advances.
525.2................  Extension of credit.  Removed..........  (FHFB-935.2).
525.3................  Interest rates......  Removed..........  (FHFB-935.3).
525.4................  Bank stock            Removed..........  (FHFB-935.4).
collateral.
525.5................  Gold and gold-        Removed..........  (FHFB-935.5).
related securities
ineligible as
collateral.
525.6................  Terms of advances...  Removed..........  (FHFB-935.6).
525.7................  Collateral securing   Removed..........  (FHFB-935.7).
advances.
525.8................  Determination of      Removed..........  (FHFB-935.8).
value of collateral.
525.9................  Additional            Removed..........  (FHFB-935.9).
collateral.
525.10...............  Short term advances.  Removed..........  (FHFB-935.10).
525.33...............  Lines of credit.....  Removed..........  (FHFB-935.30).
525.34...............  Eligible              Removed..........  (FHFB-935.31).
institutions.
525.35...............  Rates of interest...  Removed..........  (FHFB-935.32).
525.36...............  Application for       Removed..........  (FHFB-935.33).
advances.

PART 526

526.1................  Definitions.........  See below........  ................................................
526.1(a).............  Member..............  Removed..........  ................................................
526.1(b).............  Certificate account.  561.9............  Certificate account.
526.1(c).............  Savings account.....  561.42...........  Savings account.
526.1(d).............  Tax and loan account  561.52...........  Tax and loan account.
526.1(e).............  Note account........  561.33...........  Note account.
526.1(f).............  United States         561.53...........  United States Treasury General Account.
Treasury general
account.
526.1(g).............  United States         561.54...........  United States Treasury Time Deposit Open
Treasury time                            Account.
deposit open
account.
526.2................  Advertising interest  563.27...........  Advertising.
or dividends on
savings accounts.


[[Page 703]]


PART 527                                   PART 937

527.1................  General.............  Removed..........  (FHFB-937.1).
527.2................  Definitions.........  Removed..........  (FHFB-937.2).
527.3................  Middle-income         Removed..........  (FHFB-937.3).
families.
527.4................  Low-income families.  Removed..........  (FHFB-937.4).
527.5................  Credits to member     Removed..........  (FHFB-937.5).
institutions.
527.6................  Disbursement of       Removed..........  (FHFB-937.6).
funds to Banks.
527.7................  Retention of          Removed..........  (FHFB-937.7)
documents.
527.8................  Recertification of    Removed..........  (FHFB-937.8).
income.

PART 528

528.1................  Definitions.........  528.1............  Definitions.
528.1a...............  Supplementary         528.1a...........  Supplementary guidelines.
guidelines.
528.2................  Nondiscrimination in  528.2............  Nondiscrimination in lending and other services.
lending and other
services.
528.2a...............  Nondiscriminatory     528.2a...........  Nondiscriminatory appraisal and underwriting.
appraisal and
underwriting.
528.3................  Nondiscrimination in  528.3............  Nondiscrimination in applications.
applications.
528.4................  Nondiscriminatory     528.4............  Nondiscriminatory advertising.
advertising.
528.5................  Equal Housing Lender  528.5............  Equal Housing Lender poster.
poster.
528.6................  Monitoring            528.6............  Monitoring information.
information.

Appendix A...........  Association           Appendix A.......  ................................................
instructions for
preparation of loan.

to Sec.   528.6......  application           to Sec.   528.6..  ................................................
registers.

Appendix B...........  Association           Appendix B.......  ................................................
instructions for
preparation of data.

to Sec.   528.6......  submission report...  to Sec.   528.6..  ................................................
528.7................  Nondiscrimination in  528.7............  Nondiscrimination in employment.
employment.
528.8................  Complaints..........  528.8............  Complaints.

PART 529

5291.................  Purpose.............  529.1............  Purpose.
529.2................  Definitions.........  529.2............  Definitions.
529.3................  Application of this   529.3............  Application of this part.
part.
529.4................  Discrimination        529.4............  Discrimination prohibited.
prohibited.
529.5................  Assurances required.  529.5............  Assurances required.
529.6................  Compliance            529.6............  Compliance information.
information.
529.7................  Conduct of            529.7............  Conduct of investigations.
investigations.
529.8................  Procedure for         529.8............  Procedure for effecting compliance.
effecting
compliance.
529.9................  Hearings............  529.9............  Hearings.
529.10...............  Decisions and         529.10...........  Decisions and notices.
notices.
529.11...............  Judicial review.....  529.11...........  Judicial review.
529.12...............  Effect on other       529.12...........  Effect on other regulations.
regulations.

Appendix A...........  Activities to which   Appendix.........  ................................................
this part applies.

PART 531                                   PART 940

531.1................  Policy on advance to  Removed..........  (FHFB-940.1).
members.
531.2................  Policy on Federal     Removed..........  (FHFB-940.2).
Savings and Loan
Insurance
Corporation--guaran
teed advances and
loans to the
Federal Savings and
Loan Insurance
Corporation.
531.3................  [Previously Deleted]  .................  ................................................
531.4................  Assigned collateral;  Removed..........  (FHFB-940.3).
verification.
531.5................  [Previously Deleted]  .................  ................................................
531.6................  [Previously Deleted]  .................  ................................................
531.7................  [Previously           .................  ................................................
Reserved].
531.8................  Guidelines relating   571.24...........  Guidelines relating to nondiscrimination in
to                                       lending.
nondiscrimination
in lending.
531.9................  Interest rates on     Removed..........  (FHFB-940.5).
advances.
531.10...............  Accepting pooled      571.25...........  Accepting pooled accounts.
accounts.
531.12...............  Transfer and          Removed..........
repurchase of
government
securities
[Redesignated as
FSLIC-Insured
Institution
regulation, 12 CFR
563.8-4, [sec]
4668, effective May
27, 1982].

PART 532

532.1................  Payment in gold or    571.17...........  Payment in gold ot its equivalent.
its equivalent.

PART 533

533.1................  Electronic fund       533.1............  Electronic fund transfers subject to Regulation
transfers subject                        E.
to Regulation E.


[[Page 704]]


PART 534                                   PART 943

534.1................  Authority and scope.  Removed..........  (FHFB-943.1).
534.2................  Definitions.........  Removed..........  (FHFB-943.2).
534.3................  General provisions..  Removed..........  (FHFB-943.3).
534.4................  Incidental powers...  Removed..........  (FHFB-943.4).
534.5................  Operations..........  Removed..........  (FHFB-943.5).
534.6................  Pricing of services.  Removed..........  (FHFB-943.6).
534.7................  Rights, powers,       Removed..........  (FHFB-943.7).
responsibilities,
duties and
liabilities.

PART 535

535.1................  Definitions.........  535.1............  Definitions.
535.2................  Unfair credit         535.2............  Unfair credit practices.
contract provisions.
535.3................  Unfair or deceptive   535.3............  Unfair or deceptive cosigner practices.
cosigner practices.
535.4................  Late charges........  535.4............  Late charges.
535.5................  State exemptions....  535.5............  State exemptions.

PART 541

541.1................  General.............  541.1............  General.
541.2................  Act.................  541.2............  Act.
541.3................  Combination of        541.4............  Combination of residential real estate and
residential real                         business property involving only minor or
estate and business                      incidental business use.
property involving
only minor or
incidental business
use.
541.4................  Combination of home   541.3............  Combination of home and business property.
and business
property.
541.5................  Cooperative housing   541.6............  Cooperative housing development.
development.
541.6................  Director............  Removed..........  ................................................
541.7................  Dwelling unit.......  541.10...........  Dwelling unit.
541.8................  Federal association.  541.11...........  Federal savings association.
541.9................  Interim Federal       541.18...........  Interim Federal savings association.
association.
541.9............  District Director.
541.10...............  Interim state         541.19...........  Interim state savings association.
institution.
541.11...............  Insured institution.  Removed..........  ................................................
541.12...............  General reserves....  541.12...........  General reserves.
541.13...............  Guaranteed loan.....  541.13...........  Guaranteed loan.
541.14...............  Home................  541.14...........  Home.
541.15...............  Improved residential  541.16...........  Improved residential real estate.
real estate.
541.16...............  Insured loan........  541.17...........  Insured loan.
541.17...............  Regulatory capital..  Removed..........
541.18...............  Principal             Removed..........
Supervisory Agent.
541.19...............  Short-term savings    541.24...........  Short-term savings account.
account.
541.20...............  Single-family         541.25...........  Single-family dwelling.
dwelling.
541.21...............  Supervisory Agent...  Removed..........  ................................................
541.22...............  Surplus.............  541.26...........  Surplus.
541.22...........  [Reserved]
541.23...............  Withdrawal value of   541.28...........  Withdrawal value of a savings account.
a savings account.
541.24...............  Loans...............  541.20...........  Loans.
541.25...............  Commercial paper....  541.5............  Commercial paper.
541.26...............  Corporate debt        541.7............  Corporate debt security.
security.
541.27...............  Unimproved real       541.27...........  Unimproved real estate.
estate.
541.28...............  Debit card..........  541.8............  Debit card.
541.29...............  Residential real      541.23...........  Residential real estate.
estate.
541.30...............  Nonresidential real   541.21...........  Nonresidential real estate.
estate.
541.31...............  Improved              541.15...........  Improved nonresidential real estate.
nonresidential real
estate.

PART 542--[Removed]

PART 543

543.1................  Corporate title.....  543.1............  Corporate title.
543.2................  Application for       543.2............  Application for permission to organize.
permission to
organize.
543.3................  [Removed December     .................  ................................................
15, 1982].
543.4................  [Removed December     .................  ................................................
15, 1982].
543.5................  Issuance of Charter.  543.5............  Issuance of charter.
543.6................  Completion of         543.6............  Completion of organization.
organization.
543.7................  Limitations on        543.7............  Limitations on transaction of business.
transaction of
business.
543.7-1..............  Federal association   543.7-1..........  Federal savings association created in
proposed by Federal                      connection with an association in default or in
Savings and Loan                         danger of default.
Insurance
Corporation.
543.8................  General.............  543.8............  Conversion from State mutual charter to Federal
charter.
543.9................  Application.........  543.9............  Application for Conversion to Federal mutual
charter.
543.10...............  Organization after    543.10...........  Organization after conversion.
conversion.

[[Page 705]]


543.11...............  Organization plan     543.11...........  Organization plan for governance during first
for governance                           years after issuance of Federal mutual savings
during first years                       bank charter.
after issuance of
Federal mutual
savings bank
charter.
543.11-1.............  Grandfathered         543.11-1.........  Grandfathered authority.
authority.
543.12...............  FDIC-insured federal  543.12...........  BIF-insured Federal savings banks.
savings banks.
543.13...............  Notice to FDIC......  543.13...........  Notice to FDIC.
543.14...............  Continuity of         543.14...........  Continuity of existence.
existence.

PART 544

544.1................  Federal mutual        544.1............  Federal mutual charter.
charter.
544.2................  Charter amendments..  544.2............  Charter amendments.
544.2-1..............  [Previously Removed]  .................  ................................................
544.2-2..............  [Previously Removed]  .................  ................................................
544.3................  Adoption of new       544.3............  Adoption of new federal charter by a federal
federal charter by                       savings association.
a federal
association.
544.4................  Issuance of charter.  544.4............  Issuance of charter.
544.5................  Federal mutual        544.5............  Federal mutual savings association by laws.
association bylaws.
544.5-1..............  [Previously Removed]  .................  ................................................
544.6................  Effect of subsequent  544.6............  Effect of subsequent charter or bylaw change.
charter or bylaw
change.
544.6-1..............  [Previously Removed]  .................  ................................................
544.7................  In association        544.7............  In association offices.
offices.
544.8................  References to old     544.8............  References to old and new charters; rules
and new charters;                        applicable to trustees of Federal mutual
rules applicable to                      savings banks.
trustees of federal
mutual savings
banks.
544.9................  Obsolete charter      544.9............  Obsolete charter provision for Charter B
provision for                            associations.
Charter B
associations.

Appendix.............  Model bylaws for      Appendix.........  Model bylaws for mutual savings associations.
mutual institutions.

PART 545

545.1................  General authority...  545.1............  General authority.
545.2................  Federal preemption..  545.2............  Federal preemption.
545.3-545.9..........  [Reserved]..........  545.3.-545.9.....  [Reserved].
545.10...........  Savings deposits or shares.
545.11...............  Insured accounts....  545.11...........  Issuance of accounts.
545.12...............  Demand deposit        545.12...........  Demand deposit accounts.
accounts.
545.13...............  Account records.....  545.13...........  Account records.
545.14...............  Determination and     545.14...........  Determination and distribution of earnings.
distribution of
earnings.
545.15...............  Withdrawals.........  545.15...........  Withdrawal requests.
545.16...............  Public deposits,      545.16...........  Public deposits, depositaries, and fiscal
depositaries, and                        agents.
fiscal agents.
545.17...............  Funds transfer        545.17...........  Funds transfer services.
services.
545.18...............  Issuance of mutual    545.18...........  Issuance of mutual capital certificates.
capital
certificates.
545.19...............  Issuance of net       545.19...........  Issuance of net worth certificates.
worth certificates.
545.20...............  Borrowing, issuing    545.20...........  Borrowing, issuing obligations and securities,
obligations and                          and giving security.
securities, and
giving security.
545.21...............  Give-aways..........  545.21...........  Give-aways.
545.22-545.30........  [Reserved]..........  545.22-545.30....  [Reserved].
545.31...............  Election regarding    545.31...........  Election regarding classification of loans or
classification of                        investments.
loans or
investments.
545.32...............  Real estate loans...  545.32...........  Real estate loans.
545.33...............  Home loans..........  545.33...........  Home loans.
545.34...............  Limitations for home  545.34...........  Limitations for home loans secured by borrower-
loans secured by                         occupied property.
borrower-occupied
property.
545.35...............  Other real estate     545.35...........  Other real estate loans.
loans.
545.36...............  Loans to acquire or   545.36...........  Loans to acquire or to improve real estate.
to improve real
estate.
545.37...............  Combination loans...  545.37...........  Combination loans.
545.38...............  Insured and           545.38...........  Insured and guaranteed loans.
guaranteed loans.
545.39...............  Loans guaranteed      545.39...........  Loans guaranteed under the Foreign Assistance
under the Foreign                        Act of 1961.
Assistance Act of
1961.
545.40...............  Loans on low-rent     545.40...........  Loans on low-rent housing.
housing.
545.41...............  Community             545.41...........  Community development loans and investments.
development loans
and investments.
545.42...............  Home improvement      545.42...........  Home improvement loans.
loans.
545.43...............  State housing         545.43...........  State housing corporation investment-insured.
corporation
investment-insured.
545.44...............  Mortgage              545.44...........  Mortgage transactions with the Federal Home Loan
transactions with                        Mortgage Corporation.
the Federal Home
Loan Mortgage
Corporation.
545.45...............  Manufactured home     545.45...........  Manufactured home financing.
financing.
545.46...............  Commercial loans....  545.46...........  Commercial loans.
545.47...............  Overdraft loans.....  545.47...........  Overdraft loans.
545.48...............  Letters of credit...  545.48...........  Letters of credit.
545.49...............  Loans on securities.  545.49...........  Loans on securities.

[[Page 706]]


545.50...............  Consumer loans......  545.50...........  Consumer loans.
545.51...............  Credit cards........  545.51...........  Credit cards.
545.52...............  Loans on savings      545.52...........  Loans on savings accounts.
accounts.
545.53...............  Finance leasing.....  545.53...........  Finance leasing.
545.54-545.70........  [Reserved]..........  545.54-545.70....  [Reserved].
545.71...............  Liquid assets.......  545.71...........  Liquid assets.
545.72...............  Government            545.72...........  Government obligations.
obligations.
545.73...............  Inter-American        545.73...........  Inter-American Savings and Loan Bank.
Savings and Loan
Bank.
545.74...............  Service corporations  545.74...........  Service corporations.
545.75...............  Commercial paper and  545.75...........  Commercial paper and corporate debt securities.
corporate debt
securities.
545.76...............  Investment in open-   545.76...........  Investment in open-end management investment
end management                           companies.
investment
companies.
545.77...............  Real estate for       545.77...........  Real estate for office and related facilities.
office and related
facilities.
545.78...............  Leasing.............  545.78...........  Leasing.
545.79...............  Gold transactions...  545.79...........  Gold transactions.
545.80...............  Small business        545.80...........  Small Business Investment Corporations.
investment
corporations.
545.81...............  [Reserved]..........  545.81...........  [Reserved].
545.82...............  Finance subsidiaries  545.82...........  Finance subsidiaries.
545.83-545.90........  [Reserved]..........  545.83-545.90....  [Reserved].
545.91...............  Home office.........  545.91...........  Home office.
545.92...............  Branch offices......  545.92...........  Branch offices.
545.93...............  Upgrading of          545.93...........  Upgrading of approved branch office.
approved branch
office.
545.94...............  Closing a branch      545.94...........  Closing a branch office.
office.
545.95...............  Change of office      545.95...........  Change of office location and redesignation of
location and                             offices.
redesignation of
offices.
545.96...............  Agency..............  545.96...........  Agency.
545.97-545.100.......  [Reserved]..........  545.97-545.100...  [Reserved].
545.101..............  Fiscal agency.......  545.101..........  Fiscal agency.
545.102..............  Trustee.............  545.102..........  Trustee.
545.103..............  Suretyship..........  545.103..........  Suretyship.
545.104-545.110......  [Reserved]..........  545.104-545.110..  [Reserved].
545.111..............  Adjustments to book   545.111..........  Adjustments to book value of assets.
value of assets.
545.112..............  [Removed and          545.112..........  [Reserved].
Reserved].
545.113..............  Accounting records..  545.113..........  Accounting records.
545.114..............  Monthly reports.....  545.114..........  Monthly reports.
545.115..............  Statement of          545.115..........  Statement of condition.
condition.
545.116-545.120......  [Reserved]..........  545.116-545.120..  [Reserved].
545.121..............  Indemnification of    545.121..........  Indemnification of directors, officers, and
directors,                               employees.
officers, and
employees.
545.122..............  Employment contracts  545.122..........  Employment contracts.
545.123..............  Advisory boards and   545.123..........  Advisory boards and committees.
committees.
545.124-545.125......  [Reserved]..........  545.124-545.125..  [Reserved].
545.126..............  Referral of           545.126..........  Referral of insurance business.
insurance business.
545.127-545.130......  [Reserved]..........  545.127-545.130..  [Reserved].
545.131..............  Communication         545.131..........  Communication between members of a federal
between members of                       mutual savings association.
a federal mutual
association.
545.132..............  Disclosure of         545.132..........  Disclosure of customer records.
customer records.
545.133-545.135......  [Reserved]..........  545.133-545.135..  [Reserved].
545.136..............  Financial future      545.136..........  Financial future transactions.
transactions.
545.137..............  Financial options     545.137..........  Financial options transactions.
transactions.
545.138..............  Data-processing       545.138..........  Data-processing services.
services.
545.139-545.140......  [Reserved]..........  545.139-545.140..  [Reserved].
545.141..............  Remote service units  545.141..........  Remote service units (RSUs).
(RSUs).
545.142..............  Home banking          545.142..........  Home banking services.
services.
Appendix.............  Notice to housing     Removed..........  ................................................
creditors regarding
alternative
mortgage
transactions.

PART 546

546.1................  Definitions.........  546.1............  Definitions.
546.2................  Procedure; effective  546.2............  Procedure; effective date.
date.
546.3................  Transfer of assets    546.3............  Transfer of assets upon merger.
upon merger.
546.4................  Voluntary             546.4............  Voluntary dissolution.
dissolution.
546.5................  [Removed effective    .................  ................................................
December 15, 1982].

PART 547


[[Page 707]]


547.1................  Grounds for           Removed..........  ................................................
appointment of
conservator or
receiver.
547.2................  Appointment of        Removed..........  ................................................
conservator or
receiver.
547.3................  Appointments on       Removed..........  ................................................
other grounds.
547.4................  Notice of             558.2............  Notice of appointment.
appointment.
559.2............  Notice of appointment.
547.5................  Removal of            Removed..........  ................................................
conservator or
receiver.
547.6................  Federal Savings and   Removed..........  ................................................
Loan Insurance
Corporation as
receiver.
547.7................  Possession by         Removed..........  ................................................
conservator or
receiver.
547.8................  Surrender of          558.6............  Surrender of a possession by a conservator.
possession by
conservator or
receiver.

PART 548                                   PART 558

548.1................  Procedure upon        558.1............  Procedure upon taking possession.
taking possession.
548.2................  Powers and duties of  Removed..........  (FDIC-382.2).
conservator.
548.3................  Creditors...........  Removed..........  (FDIC-382.3).
548.4................  Share interests.....  Removed..........  (FDIC-382.4).
548.5................  Inventory;            558.3............  Inventory.
examinations and
audits, and costs
thereof; accounting
practices.
548.6................  Final discharge and   558.7............  Final discharge and release of conservator.
release of
conservator.
548.7................  Inspection of         558.4............  Inspection of reports.
reports.
548.8................  Delegation by         558.5............  Delegation by conservator.
conservator.

PART 549                                   PART 559

549.1................  Definitions.........  Removed..........  (FDIC-383.1).
549.2................  Procedure upon        559.1............  Procedure upon taking possession.
taking possession.
549.3................  Powers and duties of  Removed..........  (FDIC-383.3).
receiver.
549.4................  Creditor claims.....  Removed..........  (FDIC-383.4).
549.5................  Share interest        Removed..........  (FDIC-383.5).
claims.
559.5............  Delegation by receiver.
549.5-1..............  Deposit associations  Removed..........  (FDIC-383.6).
549.6................  Inventory;            559.3............  Inventory.
examinations and
audits, and costs
thereof; accounting
practices.
549.7................  Final discharge and   559.6............  Final discharge and release of receiver.
release of receiver.
549.8................  Inspection of         559.4............  Inspection of reports.
reports.

PART 550

550.1................  Definitions.........  550.1............  Definitions.
550.2................  Applications........  550.2............  Applications.
550.3................  Consolidation or      550.3............  Consolidation or merger of two or more Federal
merger of two or                         savings associations.
more Federal
associations.
550.4................  Deposit of            550.4............  Deposit of securities with state authorities.
securities with
state authorities.
550.5................  Administration of     550.5............  Administration of trust powers.
trust powers.
550.6................  Books and accounts..  550.6............  Books and accounts.
550.7................  Audit of trust        550.7............  Audit of trust department.
department.
550.8................  Funds awaiting        550.8............  Funds awaiting investment or distribution.
investment or
distribution.
550.9................  Investment of funds   550.9............  Investment of funds held as fiduciary.
held as fiduciary.
550.10...............  Self-dealing........  550.10...........  Self-dealing.
550.11...............  Custody of            550.11...........  Custody of investments.
investments.
550.12...............  Compensation of       550.12...........  Compensation of Federal savings association.
association.
550.13...............  Collective            550.13...........  Collective investment.
investment.
550.14...............  Surrender of trust    550.14...........  Surrender of trust powers.
powers.
550.15...............  Effect on trust       550.15...........  Effect on trust accounts of appointment of
accounts of                              conservator or receiver or voluntary
appointment of                           dissolution of association.
conservator or
receiver or
voluntary
dissolution of
association.
550.16...............  Revocation of trust   550.16...........  Revocation of trust powers.
powers.

PART 551

551.1................  Service of process..  510.4............  Service of process.

PART 552

552.1................  Definitions.........  552.1............  Definitions.
552.2................  Corporate title.....  552.2............  Corporate title.
552.2-1..............  Procedure for         552.2-1..........  Procedure for organization of Federal stock
organization of                          association.
Federal stock
association.
552.2-2..............  Procedures for        552.2-2..........  Procedures for organization of interim Federal
organization of                          stock association.
interim Federal
stock association.
552.2-3..............  Federal stock         552.2-3..........  Federal stock association created in connection
association                              with an association in default or in danger of
proposed by Federal                      default.
Savings and Loan
Insurance
Corporation.
552.2-4..............  Limitations on        552.2-4..........  Limitations on transaction of business.
transaction of
business.
552.2-5..............  Conversion from       552.2-5..........  Conversation from Federal mutual to Federal
Federal mutual to                        stock charter.
Federal stock
charter.

[[Page 708]]


552.2-6..............  Conversion from       552.2-6..........  Conversion from state stock to Federal stock
state stock to                           charter.
Federal stock
charter.
552.3................  Charters for Federal  552.3............  Charters for Federal stock associations.
stock associations.
552.4................  Charter amendments..  552.4............  Charter amendments.
552.5................  Bylaws..............  552.5............  Bylaws.
552.6................  Shareholders........  552.6............  Shareholders.
552.6-1..............  Board of directors..  552.6-1..........  Board of directors.
552.6-2..............  Officers............  552.6-2..........  Officers.
552.6-3..............  Certificates for      552.6-3..........  Certificates for shares and their transfer.
shares and their
transfer.
552.6-4..............  Fiscal year; annual   552.6-4..........  Fiscal year; annual audit.
audit.
552.7................  Description of        552.7............  Description of Federal stock associations.
federal stock
associations.
552.8................  Savings deposits....  552.8............  Savings deposits.
552.9................  Investments,          Removed..........  ................................................
services and
borrowings.
552.10...............  Annual reports to     552.10...........  Annual reports to stockholders.
stockholders.
552.11...............  Books and records...  552.11...........  Books and records.
552.13...............  Combinations          552.13...........  Combinations involving Federal stock
involving federal                        associations.
stock associations.
552.14...............  Dissenter and         552.14...........  Dissenter and appraisal rights.
appraisal rights.
552.15...............  Supervisory           552.15...........  Supervisory combinations.
combinations.
552.16...............  Effect of subsequent  552.16...........  Effect of subsequent charter of bylaw change.
charter of bylaw
change.
Appendix.............  Model bylaws for      Appendix.........  Model bylaws for stock associations.
stock associations.

PART 555                                   PART 556

555.1................  Directors...........  556.1............  Directors.
555.2................  Power to engage in    556.2............  Power to engage in escrow business.
escrow business.
555.3................  Real estate.........  556.3............  Real estate.
555.5................  Insurance...........  556.4............  Insurance.
555.8................  Savings accounts....  556.6............  Savings accounts.
555.9................  Effect of loan        556.17...........  Effect of loan participation on status of
participation on                         borrowing members.
status of borrowing
members.
555.10...............  Service corporation   556.7............  Service corporation secured debt limitation.
secured debt
limitation.
555.12...............  Drive-in and          556.15...........  Drive-in and pedestrian facilities.
pedestrian
facilities.
555.13...............  First liens on        556.10...........  First liens on properties sold by the Secretary
properties sold by                       of HUD.
the Secretary of
HUD.
555.14...............  Chief executive       556.14...........  Chief executive officer of a branch office.
officer of a branch
office.
555.15...............  Prepayment penalty    556.11...........  Prepayment penalty on mortgage loans.
on mortgage loans.
555.17...............  Insurance agencies--  556.16...........  Insurance agencies--usurpation of corporate
usurpation of                            opportunity.
corporate
opportunity.
555.18...............  Deposit assurance of  556.12...........  Deposit assurance of direct deposit of social
direct deposit of                        security payments.
social security
payments.
555.19...............  Receipt of interest   556.13...........  Receipt of interest expressed as a percentage of
expressed as a                           other income.
percentage of other
income.

PART 556

556.1................  [Previously Deleted]  .................  ................................................
556.2................  [Previously           .................  ................................................
Rescinded].
556.3................  [Previously           .................  ................................................
Rescinded].
556.4................  [Previously           .................  ................................................
Rescinded].
556.5................  Establishment of      556.5............  Establishment of branch offices.
branch offices.
556.7................  Service corporation   Removed..........  ................................................
involvement with
gold or gold
related
transactions.
556.8................  Suretyship..........  556.8............  Suretyship.
556.9................  Imposition of late    556.9............  Imposition of late charges and due-on-sale
charges and due-on-                      clauses.
sale clauses.
556.10...............  [Removed effective    .................  ................................................
February 13, 1981].

PART 561

561.1................  Insured institution.  561.43...........  Savings association.
561.1............  General.
561.2................  Insured member......  561.3............  Accountholder.
561.2a...............  Deposit broker......  561.17...........  Deposit broker.
561.3................  Insured account.....  561.2............  Account.
561.4................  Trust estate........  Removed..........  ................................................
561.5................  Public Unit.........  561.40...........  Public unit.
561.5a...............  Political             561.38...........  Political subdivision.
subdivision.
561.5b...............  Independent activity  Removed..........  ................................................
561.6................  All insured accounts  Removed..........  ................................................
561.7................  Principal office....  561.39...........  Principal office.
561.7............  BIF.
561.8................  With recourse.......  561.55...........  With recourse.
561.9................  Premium.............  Removed..........  ................................................
561.10...............  Primary reserve;      Removed..........  ................................................
secondary reserve.
561.11...............  Savings accounts....  Removed..........  ................................................
561.11a..............  Checking accounts...  561.16...........  Demand accounts.

[[Page 709]]


561.11b..............  Tax and loan          Removed..........  ................................................
accounts.
561.11c..............  Note account........  Removed..........  ................................................
561.11d..............  United States         Removed..........  ................................................
Treasury General
Account.
561.11e..............  United States         Removed..........  ................................................
Treasury Time
Deposit-Open
Account.
561.11f..............  Money Market Deposit  561.28...........  Money Market Deposit Accounts.
Accounts.
561.11g..............  Negotiable order of   561.29...........  Negotiable Order of Withdrawal Accounts.
withdrawal accounts.
561.12...............  Closing date........  561.11...........  Closing date.
561.13...............  Regulatory capital..  Removed..........  (OTS-54 FR 46845).
561.14...............  [Removed effective    .................  ................................................
Aug. 16, 1982].
561.15...............  Scheduled items       Removed..........  ................................................
[Reserved].
561.15...........  Corporation.
561.16...............  Slow loans..........  561.48...........  Slow loans.
561.16a..............  Slow consumer credit  561.47...........  Slow consumer credit.
561.16b..............  Consumer credit       561.13...........  Consumer credit classified as a loss.
classified as a
loss.
561.16c..............  Classification of     563.160..........  Classification of certain assets.
certain assets.
561.17...............  [Previously Removed   .................  ................................................
and Reserved].
561.18...............  Land loan...........  561.26...........  Land loan.
561.19...............  Nonresidential        561.30...........  Nonresidential construction loan.
construction loan.
561.20...............  Insured loan........  561.25...........  Insured loan.
561.21...............  Guaranteed loan.....  561.20...........  Guaranteed loan.
561.21a..............  Guaranteed            561.21...........  Guaranteed obligation.
obligation.
561.22...............  Normal lending        561.32...........  Normal lending territory.
territory.
561.23...............  Low-rent housing....  561.27...........  Low-rent housing.
561.24...............  Subordinated debt     561.51...........  Subordinated debt security.
security.
561.24a..............  [Deleted effective    .................  ................................................
May 30, 1980].
561.25...............  Affiliate...........  561.4............  Affiliate.
561.26...............  Service corporation.  561.45...........  Service corporation.
561.27...............  Service corporation   561.46...........  Service corporation affiliate.
affiliate.
561.28...............  Controlling person..  561.14...........  Controlling person.
561.29...............  Affiliated person...  561.5............  Affiliated person.
561.30...............  Immediate family....  561.24...........  Immediate family.
561.31...............  Director............  561.18...........  Director.
561.32...............  Officer.............  561.35...........  Officer.
561.33...............  Financial             561.19...........  Financial institution.
institution.
561.34...............  Holding company       561.22...........  Holding company affiliate.
affiliate.
561.34...........  Office.
561.35...............  Principal             Removed..........  ................................................
supervisory agent.
561.36...............  Parent company;       561.37...........  Parent company; subsidiary.
subsidiary.
561.37...............  Audit period........  561.6............  Audit period.
561.38...............  Consumer credit.....  561.12...........  Consumer credit.
561.39...............  Open-end consumer     561.36...........  Open-end consumer credit.
credit.
561.40...............  Closed-end credit...  561.10...........  Closed-end consumer credit.
561.41...............  Security............  561.44...........  Security.
561.41...........  SAIF.
561.42...............  Nonwithdrawable       561.31...........  Nonwithdrawable account.
account.
561.49...........  [Reserved].
561.50...........  State.

PART 562                                   PART 384

562.1................  General provisions..  Removed..........  (FDIC-384.1).
562.2................  Application form....  Removed..........  (FDIC-384.2).
562.3................  Filing and amendment  Removed..........  (FDIC-384.3).
of application.
562.4................  Processing of         Removed..........  (FDIC-384.4).
application.
562.5................  [Previously Deleted]                     ................................................
562.6................  Exceptions to         Removed..........  (FDIC-384.5).
foregoing procedure.
562.7................  Action by             Removed..........  (FDIC-384.6).
Corporation.
562.8................  Costs of              Removed..........  (FDIC-384.7).
examination, audit,
and appraisal.
562.9................  Effective date of     Removed..........  (FDIC-384.8).
insurance; initial
premium payment,
issuance of
certificate of
insurance.
562.10...............  Prohibition against   Removed..........  (FDIC-384.9).
advertising
prospective
insurance.

PART 563

563.1................  Form of account.....  563.1............  Form of account.
563.2................  Simple form of        563.2............  Simple form of certificate; passbooks.
certificate;
passbooks.
563.3................  Long form of          563.3............  Long form of membership certificate.
membership
certificate.
563.3-1..............  Fixed-term accounts   563.7............  Fixed-term accounts (certificate accounts).
(certificate
accounts).
563.3-2..............  Negotiable order of   563.8............  Negotiable order of withdrawal accounts
withdrawal accounts                      authorized.
authorized.
563.3-3..............  Eurodollar deposits.  563.9............  Eurodollar deposits.
563.3-10.............  Earnings-based        563.10...........  Earnings-based accounts.
accounts.
563.4................  Brokered deposits...  563.4............  Brokered deposits.

[[Page 710]]


563.5................  Securities:           563.5............  Securities: statement of non-insurance.
statement of non-
insurance.
563.6................  Payment of insured    563.6............  Payment of insured accounts on demand.
accounts on demand.
563.7................  [Removed effective    .................  ................................................
April 25, 1982].
563.7-1..............  Savings deposits or   545.10...........  Savings deposits or shares.
shares of Federal
savings and loan
associations.
563.7-2..............  Form, return and      563.72...........  Form, return and maturity of securities.
maturity of
securities.
563.7-3..............  [Previously           .................  ................................................
Rescinded].
563.7-4..............  Mutual capital        563.74...........  Mutual capital certificates.
certificates.
563.7-5..............  Mandatorily           563.75...........  Mandatorily redeemable preferred stock.
redeemable
preferred stock.
563.8................  Borrowing             563.80...........  Borrowing limitations.
limitations.
563.8-1..............  Issuance of           563.81...........  Issuance of subordinated debt securities.
subordinated debt
securities.
563.8-2..............  Corporation's right   Removed..........  (FDIC-385.5).
of purchase.
563.8-3..............  [Removed effective    .................  ................................................
February 14, 1982].
563.8-4..............  Transfer and          563.84...........  Transfer and repurchase of government
repurchase of                            securities.
government
securities.
563.9................  Geographic lending    563.90...........  Appraisals on loans outside lending area.
restrictions.
563.9-1-563.9-2......  [Previously           .................  ................................................
Rescinded].
563.9-3..............  Loans to one          563.93...........  Loans to one borrower.
borrower.
563.9-4..............  Mortgage              563.94...........  Mortgage transactions with the Federal Home Loan
transactions with                        Mortgage Corporation.
the Federal Home
Loan Mortgage
Corporation.
563.9-5..............  Investment in state   563.95...........  Investment in state housing corporations.
housing
corporations.
563.9-6..............  Limitation on         563.96...........  Limitation on investment in accounts of
investment in                            commercial banks and thrift institutions and in
accounts of                              debt securities hedged with forward
commercial banks                         commitments.
and thrift
institutions and in
debt securities
hedged with forward
commitments.
563.9-7..............  Loans in excess of    563.97...........  Loans in excess of 90 percent of value.
90 percent of value.
563.9-8..............  Regulation of equity  563.98...........  Regulation of equity risk investment in equity
risk investment in                       securities, real estate, service corporations,
equity securities,                       operating subsidiaries, certain land loans, and
real estate,                             nonresidential construction loans.
service
corporations,
operating
subsidiaries,
certain land loans,
and nonresidential
construction loans.
563.9-9..............  Adjustable-rate       563.99...........  Fixed-rate and adjustable-rate mortgage loan
mortgage loan                            disclosures, adjustment notices, and interest
disclosures.                             rate caps.
Appendix.............  Adjustable-rate       Appendix to        ................................................
mortgage disclosure   563.99.
sample.
563.10--563.11.......  [Previously           .................  ................................................
Rescinded].
563.12...............  [Previously Deleted]  .................  ................................................
563.13...............  Regulatory capital    .................  Removed (OTS-54 FR 46845).
requirement.
563.13-1.............  Liability growth....  563.131..........  Liability growth.
563.13-2.............  Securities issued     563.132..........  Securities issued through subsidiaries.
through
subsidiaries.
563.13-3.............  Sale of Federal Home  563.133..........  Sale of Federal Home Loan Mortgage Corporation
Loan Mortgage                            preferred stock.
Corporation
preferred stock.
563.14...............  Individual minimum    567.3............  Individual minimum capital requirements.
capital
requirements.
563.14-1.............  Capital directives..  567.4............  Capital directives.
563.15...............  Premiums............  Removed..........  (FDIC-385.6).
563.16...............  Premiums in mergers,  Removed..........  (FDIC-385.7).
consolidations, or
purchases of bulk
assets.
563.16-1.............  [Previously Revoked]  .................  ................................................
563.16-2.............  Secondary reserve...  Removed..........  (FDIC-385.8).
563.17...............  Management and        563.161..........  Management and financial policies.
financial policies.
563.17-1.............  Examinations and      563.170..........  Examinations and audits; appraisals;
audits; appraisals;                      establishment and maintenance of records.
establishment and
maintenance of
records.
563.17-1a............  Appraisal policies    563.171..........  Appraisal policies and practice of savings
and practice of                          associations and service corporations.
insured
institutions and
service
corporations.
563.17-2.............  Re-evaluation of      563.172..........  Re-evaluation of assets; adjustment of book
assets; adjustment                       value; adjustment charges.
of book value;
adjustment charges.
563.17-3.............  Forward commitments.  563.173..........  Forward commitments.
563.17-4.............  Futures transactions  563.174..........  Futures transactions.
563.17-5.............  Financial options     563.175..........  Financial options transactions.
transactions.
563.17-6.............  Interest-rate-risk-   563.176..........  Interest-rate-risk-management procedures.
management
procedures.
563.17-7.............  Procedures for        563.177..........  Procedures for monitoring Bank Secrecy Act
monitoring Bank                          compliance.
Secrecy Act
compliance.
563.18...............  Reports to the        563.180..........  Criminal referrals and other reports or
Corporation.                             statements.
563.18-1.............  Reports of change in  563.181..........  Reports of change in control of mutual savings
control of mutual                        associations.
institutions.
563.18-2.............  [Previously Removed]  .................  ................................................
563.18-3.............  Reports of change in  563.183..........  Reports of change in chief executive officer or
chief executive                          director; other reports; from and filing of
officer or                               such reports.
director; other
reports; form and
filing of such
reports.

[[Page 711]]


563.19...............  Bonds for directors,  563.190..........  Bonds for directors, officers, employees, and
officers,                                agents; form and amount of bonds.
employees, and
agents; form of and
amount of bonds.
563.20...............  Bonds for agents....  563.191..........  Bonds for agents.
563.21...............  Safe deposit          563.192..........  Safe deposit business.
business.
563.22...............  Merger,               563.22...........  Merger, consolidation, purchase or sale of
consolidation,                           assets, or assumption of liabilities.
purchase or sale of
assets, or
assumption of
liabilities.
562.22-1.............  [Previously Revoked]  .................  ................................................
563.23...............  [Previously Removed]  .................  ................................................
563.23-1.............  Premium, discounts,   563.231..........  Premiums and discounts with respect to loans.
charges, and
credits with
respect to loans;
sale of real
estate; and related
items.
563.23-2.............  Accounting for gains  Removed..........  ................................................
and losses with
respect to
transactions in
securities.
563.23-3.............  Accounting            563.233..........  Accounting principles and procedures.
principles and
procedures.
563.23-4.............  Accounting for        563.234..........  Accounting for troubled debt restructuring.
troubled debt
restructuring.
563.24...............  Sales plans; give-    563.24...........  Sales plans; give-aways.
aways.
563.25-563.26........  [Previously Removed]  .................  ................................................
563.27...............  Advertising must be   563.27...........  Advertising.
accurate.
563.28...............  Advertising of        Removed..........  (FDIC-385.9).
insurance of
accounts.
563.29...............  Name of association.  563.29...........  Name of association.
563.29-1.............  Continuation of       Removed..........  (FDIC-385.1).
insurance.
563.30...............  Reservation of right  Removed..........  (FDIC-385.2).
concerning
advertising.
563.31...............  Other insurance or    Removed..........  (FDIC-385.3).
guaranty.
563.32...............  Payment of trustee    563.32...........  Payment of trustee fees on pension trust
fees on pension                          accounts.
trust accounts.
563.33...............  Directors, officers,  563.33...........  Directors, officers, and employees.
and employees.
563.34...............  Deposit               563.34...........  Deposit relationships involving affiliated
relationships                            persons.
involving
affiliated persons.
563.35...............  Restrictions          563.35...........  Restrictions involving loan services.
involving loan
services.
563.36...............  Equal Opportunity in  Removed..........  (FDIC-385.4).
Employment.
563.37...............  Operation of service  563.37...........  Operation of service corporations, limited
corporations;                            liability of savings association, for debt of
limited liability                        service corporation.
of insured
institution for
debt of service
corporation.
563.38...............  Salvage power of      563.38...........  Salvage power of savings association to assist
insured institution                      service corporation.
to assist service
corporation.
563.39...............  Employment contracts  563.39...........  Employment contracts.
563.39-1.............  Pension plans.......  563.47...........  Pension plans.
563.40...............  Restrictions on loan  563.40...........  Restrictions on loan procurement fees, kickbacks
procurement fees,                        and unearned fees.
kickbacks and
unearned fees.
563.41...............  Restrictions on real  563.41...........  Restrictions on real and personal property
and personal                             transactions with affiliated persons.
property
transactions with
affiliated persons.
563.42...............  [Reserved]..........  563.42...........  [Reserved].
563.43...............  Restrictions on       563.43...........  Restrictions on loans and other investments
loans and other                          involving affiliates and affiliated persons.
investments
involving
affiliated persons.
563.44...............  Loans involving       563.44...........  Loans involving mortgage insurance.
mortgage insurance.
563.45...............  Disclosure..........  563.45...........  Disclosure.
563.46...............  Charge-off of         563.46...........  Charge-off of consumer credit classified as a
consumer credit                          loss.
classified as a
loss.
563.47...............  Capital forbearance.  567.20...........  Grandfathered capital forbearances.

PART 563a                                   PART 568

563a.1...............  Scope of part and     568.1............  Scope of part and definitions.
definitions.
563a.2...............  Designation of        568.2............  Designation of security officer.
security officer.
563a.3...............  Security devices....  568.3............  Security devices.
563a.4...............  Security procedures.  568.4............  Security procedures.
563a.5...............  Reports and records.  568.5............  Reports and records.
563a.6...............  Corrective action...  568.6............  Corrective action.
563a.7...............  Penalty provision...  568.7............  Penalty provision.
Appendix A...........  Minimum standards     Appendix A.......  Minimum standards for security devices.
for security
devices.
Appendix B...........  Proper employee       Appendix B.......  Proper employee conduct during and after a
conduct during and                       robbery.
after a robbery.

PART 563b

563b.1...............  Scope of part.......  563b.1...........  Scope of part.
563b.2...............  Definitions.........  563b.2...........  Definitions.
563b.3...............  General principles    563b.3...........  General principles for conversions.
for conversions.
563b.4...............  Notice of filing;     563b.4...........  Notice of filing; public statements;
public statements;                       confidentiality.
confidentiality.
563b.5...............  Solicitation of       563b.5...........  Solicitation of proxies; proxy statement.
proxies; proxy
statement.
563b.6...............  Vote by members.....  563b.6...........  Vote by members.
563b.7...............  Pricing and sale of   563b.7...........  Pricing and sale of securities.
security.
563b.8...............  Procedural            563b.8...........  Procedural requirements.
requirements.

[[Page 712]]


563b.9...............  Conversion of an      563b.9...........  Conversion of a savings association in
insured institution                      connection with the formation of a holding
in connection with                       company.
the formation of a
holding company.
563b.10..............  Conversion of an      563b.10..........  Conversion of a savings association in
insured institution                      connection with an acquisition by an existing
in connection with                       holding company; conversion of a savings
an acquisition by                        association through merger with an existing
an existing holding                      stock savings association.
company; conversion
of an insured
institution through
merger with an
insured stock
institution.
Subpart B............  [Removed effective    .................  ................................................
January 4, 1984].
563b.20..............  Scope of subpart....  563b.20..........  Scope of subpart.
563b.21..............  Voluntary             563b.21..........  Voluntary supervisory conversions.
supervisory
conversions.
563b.22..............  Purpose of subpart..  563b.22..........  Purpose of subpart.
563b.23..............  Authority of          563b.23..........  Authorization of supervisory conversions.
supervisory
conversions.
563b.24..............  Qualification for     563b.24..........  Qualification for supervisory conversion of SAIF-
supervisory                              insured savings associations.
conversion of FSLIC-
insured
institutions.
563b.25..............  Qualifications for    563b.25..........  Qualifications for supervisory conversion of BIF-
supervisory                              insured savings associations.
conversion of FDIC-
insured
institutions.
563b.26..............  Viability of          563b.26..........  Viability of converted savings association.
converted insured
institution.
563b.27..............  Application for       563b.27..........  Application for voluntary supervisory stock
voluntary                                conversion.
supervisory stock
conversion.
563b.28..............  Procedural            563b.28..........  Procedural requirements.
requirements.
563b.29..............  Conditions of         563b.29..........  Conditions of approval.
approval.
563b.30..............  Sale of conversion    563b.30..........  Sale of conversion stock.
stock.
563b.31..............  Expenses............  563b.31..........  Expenses.
563b.32..............  Employment contracts  563b.32..........  Employment contracts.
563b.33..............  [Previously Removed]  .................  ................................................
563b.34..............  Scope of subpart....  563b.34..........  Scope of subpart.
563b.35..............  Modified stock        563b.35..........  Modified stock conversion.
conversion.
563b.36..............  Purpose of subpart..  563b.36..........  Purpose of subpart.
563b.37..............  Qualification for     563b.37..........  Qualification for modified conversion.
modified conversion.
563b.38..............  Authorization of      563b.38..........  Authorization of modified conversion.
modified conversion.
563b.39..............  Application for       563b.39..........  Application for modified conversion.
modified conversion.
563b.40..............  Sale of stock.......  563b.40..........  Sale of stock.
563b.41..............  Procedural            563b.41..........  Procedural requirements.
requirements.
563b.100.............  Form AC--Application  563b.100.........  Form AC--Application for Conversion.
for Conversion.
563b.101.............  Form PS--Proxy        563b.101.........  Form PS--Proxy Statements.
Statements.
563b.102.............  Form OC--Offering     563b.102.........  Form OC--Offering Circulars.
Circulars.

PART 563c

563c.1...............  Form and content of   563c.1...........  Form and content of financial statements.
financial
statements.
563c.2...............  Definitions.........  563c.2...........  Definitions.
563c.3...............  Qualification of      563c.3...........  Qualification of Public Accountant.
public accountant.
563c.4...............  Condensed financial   563c.4...........  Condensed financial information [Parent only].
information [Parent
only].
563c.10..............  Use of accrual basis  563c.10..........  Use of accrual basis of accounting.
of accounting.
563c.11..............  Accounting for        Removed..........  ................................................
uncollectible
income.
563c.12..............  Accounting for net    563c.12..........  Accounting for net income.
income.
563c.13..............  Accounting for        563c.13..........  Accounting for investment in service
investment in                            corporation.
service corporation.
563c.14..............  Accounting for gains  563c.14..........  Accounting for gains and losses on the sale or
and losses on the                        other disposition of mortgage loans, redeemable
sale or other                            ground-rent leases, and certain securities;
disposition of                           matching the amortization of discounts and
mortgage loans,                          losses.
redeemable ground-
rent leases, and
certain securities;
matching the
amortization of
discounts and
losses.
563c.101.............  Application of this   563c.101.........  Application of this subpart.
subpart.
563c.102.............  Financial statement   563c.102.........  Financial statement presentation.
presentation.

PART 563d

563d.1...............  Requirements under    563d.1...........  Requirements under certain sections of the
certain sections of                      Securities Exchange Act of 1934.
the Securities
Exchange Act of
1934.
563d.2...............  Mailing requirements  563d.2...........  Mailing requirements for securities filings.
for securities
filings.
563d.3b-6............  Liability for         563d.3d-6........  Liability for certain statements by savings
certain statements                       associations.
by registrants.
563d.200.30..........  Delegation of         563d.200-30......  Delegation of authority to Chief Counsel.
authority to
General Counsel.
563d.210.............  Form and content of   563d.210.........  Form and content of financial statements.
financial
statements.
563d.801.............  Application of this   563d.801.........  Application of this subpart.
Subpart.
563d.802.............  Description of        563d.802.........  Description of business.
business.

PART 563e

563e.1...............  Authority...........  563e.1...........  Authority.
563e.2...............  Purposes............  563e.2...........  Purposes.
563e.3...............  Delineation of        563e.3...........  Delineation of community.
community.
563e.4...............  Community             563e.4...........  Community Reinvestment Act statement.
Reinvestment Act
statement.
563e.5...............  Files of public       563e.5...........  Files of public comments and recent CRA
comments and recent                      statements.
CRA statements.

[[Page 713]]


563e.6...............  Public notice.......  563e.6...........  Public notice.
563e.7...............  Assessing the record  563e.7...........  Assessing the record of performance.
of performance.
563e.8...............  Effect on             563e.8...........  Effect on applications.
applications.

PART 563f

563f.1...............  Authority, purpose,   563f.1...........  Authority, purpose, and scope.
and scope.
563f.2...............  Definitions.........  563f.2...........  Definitions.
563f.3...............  General prohibitions  563f.3...........  General prohibitions.
563f.4...............  Permitted             563f.4...........  Permitted interlocking relationships.
interlocking
relationships.
563f.5...............  Grandfathered         563f.5...........  Grandfathered interlocking relationships.
interlocking
relationships.
563f.6...............  Changes in            563f.6...........  Changes in circumstances.
circumstances.
563f.7...............  Delegation of         563f.7...........  Delegation of authority to grant exemptions and
authority to grant                       extensions of time.
exemptions and
extensions of time.
563f.8...............  Enforcement.........  563f.8...........  Enforcement.

PART 563g

563g.1...............  Definitions.........  563g.1...........  Definitions.
563g.2...............  Offering circular     563g.2...........  Offering circular requirement.
requirements.
563g.3...............  Exemptions..........  563g.3...........  Exemptions.
563g.4...............  Non-public offerings  563g.4...........  Non-public offering.
563g.5...............  Filing and signature  563g.5...........  Filing and signature requirements.
requirements.
563g.6...............  Effective date......  563g.6...........  Effective date.
563g.7...............  Form, content, and    563g.7...........  Form, content, and accounting.
accounting.
563g.8...............  Use of the offering   563g.8...........  Use of the offering circular.
circular.
563g.9...............  Escrow requirement..  563g.9...........  Escrow requirement.
563g.10..............  Unsafe or unsound     563g.10..........  Unsafe or unsound practices.
practices.
563g.11..............  Withdrawal or         563g.11..........  Withdrawal or abandonment.
abandonment.
563g.12..............  Securities sale       563g.12..........  Securities sale report.
report.
563g.13..............  Public disclosure     563g.13..........  Public disclosure and confidential treatment.
and confidential
treatment.
563g.14..............  Waiver..............  563g.14..........  Waiver.
563g.15..............  Requests for          563g.15..........  Requests for interpretive advice or waiver.
interpretive advice
or waiver.
563g.16..............  Delayed or            563g.16..........  Delayed or continuous offering and sale of
continuous offering                      securities.
and sale of
securities.
563g.17..............  Direct sales of       563g.17..........  Direct sales of securities at an office.
securities at an
office.
563g.18..............  Current and periodic  563g.18..........  Current and periodic reports.
reports.
563g.19..............  Approval of the       563g.19..........  Approval of the security.
security.
563g.20..............  Form for securities   563g.20..........  Form for securities sale report.
sale report.
563g.21..............  Filing of copies of   563g.21..........  Filing of copies of offering circulars in
offering circulars                       certain exempt offerings.
in certain exempt
offerings.
563g.22..............  Delegation of         563g.22..........  Delegation of authority.
authority.

PART 564                                   PART 386



564.1................  Settlement of         Removed..........  (FDIC-386.1).
insurance upon
default.
564.2................  General principles    Removed..........  (FDIC-386.2).
applicable in
determining
insurance of
accounts.
564.3................  Single ownership      Removed..........  (FDIC-386.3).
accounts.
564.4................  Testamentary          Removed..........  (FDIC-386.4).
accounts.
564.5................  Accounts held by      Removed..........  (FDIC-386.5).
executors or
administrators.
564.6................  Accounts held by a    Removed..........  (FDIC-386.6).
corporation or
partnership.
564.7................  Accounts held by an   Removed..........  (FDIC-386.7).
unincorporated
association.
564.8................  Public unit accounts  Removed..........  (FDIC-386.8).
564.9................  Joint account.......  Removed..........  (FDIC-386.9).
564.10...............  Trust accounts and    Removed..........  (FDIC-386.10).
IRA and Keogh
accounts.
564.11...............  FDIC-insured federal  Removed..........  (FDIC-386.11).
associations.
564.12...............  [Invalidated by       .................  ................................................
court order, June
20, 1984 (49 FR
27294)].
Appendix.............  Examples of           Removed..........  (FDIC-Appendix to Part 386).
insurance coverage
afforded accounts
in institutions
insured by the
Federal Savings and
Loan Insurance
Corporation.

PART 565                                   PART 387

565.1................  Voluntary             Removed..........  (FDIC-387.1).
termination of
insurance.
565.2................  Termination by the    Removed..........  (FDIC-387.2).
Corporation.
565.3................  Termination of        Removed..........  (FDIC-387.3).
insurance resulting
from removal from
Federal Home Loan
Bank membership.
565.4................  Date of termination   Removed..........  (FDIC-387.4).
of insured status.

[[Page 714]]


565.5................  Notice to insured     Removed..........  (FDIC-387.5).
members.
565.6................  Cessation of          Removed..........  (FDIC-387.6).
existence; mergers
and consolidations.
565.7................  Cessation of          Removed..........  (FDIC-387.7).
existence; other
cases.
565.8................  Surrender of          Removed..........  (FDIC-387.8).
insurance
certificate.
565.9................  FDIC-insured federal  Removed..........  (FDIC-387.9).
associations.
565.10...............  Liquidation account.  Removed..........  (FDIC-387.10).

PART 566-[Rescinded]

PART 567

567.1................  Amendment of rules    Removed..........  (OTS-54 FR 46845).
and regulations.
567.1............  Definitions.
567.2................  [Previously Revoked]  Removed..........  ................................................
567.2............  Minimum regulatory capital requirement.
567.5............  Components of capital.
567.6............  Risk-based capital credit risk weight
categories.
567.8............  Leverage ratio.
567.9............  Tangible capital requirement.
567.10...........  Consequences of failure to meet capital
requirements.
567.11...........  Reservation of authority.

PART 568

568.1................  Agents for service    Removed..........  ................................................
of process.

PART 569

569.1................  Definitions.........  569.1............  Definitions.
569.2................  Form of proxies.....  569.2............  Form of proxies.
569.3................  Holders or proxies..  569.3............  Holders of proxies.
569.4................  Proxy soliciting      569.4............  Proxy soliciting material.
material.

PART 569a                                   PART 579

569a.1...............  Grounds for           Removed..........  ................................................
appointment of
receiver.
579.1............  Scope.
569a.2...............  Appointment of        Removed..........  ................................................
Receiver.
569a.3...............  Notice of             579.3............  Notice.
appointment.
569a.4...............  Possession by         Removed..........  (FDIC-388.1).
Receiver.
579.4............  Inventory.
569a.5...............  Procedure on taking   579.2............  Procedure on taking possession.
possession.
579.5............  Inspection of report.
569a.6...............  Powers and duties as  Removed..........  (FDIC-388.3).
Receiver.
579.6............  Delegation by conservator.
569a.7...............  Priority of claims..  Removed..........  (FDIC-388.4).
579.7............  Surrender of possession by a conservator.
569a.8...............  Creditor claims.....  Removed..........  (FDIC-388.5).
569a.9...............  Claims of             Removed..........  (FDIC-388.6).
accountholders.
569a.10..............  Audits..............  Removed..........  (FDIC-388.7).
569.11...............  Accounting            Removed..........  (FDIC-388.8).
practices; reports.
569.12...............  Final discharge and   579.8............  Final discharge and release of conservator.
release of Receiver.
569a.13..............  Purchase and          Removed..........  (FDIC-388.10).
assumption
transactions.

PART 569c                                   PART 389

569c.1...............  Definitions.........  Removed..........  (FDIC-389.1).
569c.2...............  Scope...............  Removed..........  (FDIC-389.2)
569c.3-569c.6........  [Previously           Removed..........  (FDIC-389.3)
Reserved].
569c.7-1.............  Subrogation of the    Removed..........  (FDIC-389.4)
Corporation and
Assignment of Claim.
569c.8-1.............  Federal Home Loan     Removed..........  (FDIC-389.5)
Banks as Secured
Creditors.
569c.9-569c.10.......  [Previously           Removed..........  (FDIC-389.6)
Reserved].
569c.11..............  Priorities..........  Removed..........  (FDIC-389.7)

PART 570

570.1................  [Previously           .................  ................................................
Rescinded].
570.2................  [Previously Revoked]  .................  ................................................
570.3................  Reserves; Federal     Removed..........  ................................................
insurance reserve;
transfers from;
undivided profits.
570.4................  Regulatory capital..  571.23...........  Regulatory capital.
570.5................  [Removed effective    .................  ................................................
March 21, 1985].
570.6................  [Previously Revoked]  .................  ................................................
570.7................  Appraisals; payment   571.20...........  Payment for appraisals.
for.
570.8................  Computation of        Removed..........  ................................................
scheduled items,
assets and
specified assets.

[[Page 715]]


570.9................  [Removed effective    .................  ................................................
August 16, 1982].
570.10...............  Separate corporate    571.21...........  Separate corporate existence of a service
existence of a                           corporation.
service corporation.
570.11...............  Most favored lender   571.22...........  Most favored lender status.
status.
570.12...............  Insurance of          Removed..........  (FDIC-386.12).
accounts evidenced
by negotiable
instruments.
570.13...............  Insurance of annuity  Removed..........  (FDIC-386.13).
accounts.

PART 571

571.1................  Appraisal of real     571.1............  Appraisal of real estate securing asset of
estate securing                          savings associations.
asset of insured
institutions.
571.1a...............  Classification of     571.26...........  Classification of certain assets.
certain assets.
571.1b...............  Appraisal policies    571.27...........  Appraisal policies and practices of savings
and practices of                         associations.
insured
institutions.
571.2................  Audits of insured     571.2............  Audits of savings associations.
institutions.
571.3................  Interest-rate-risk    571.3............  Interest-rate-risk management.
management.
571.4................  Hazard insurance....  571.4............  Hazard insurance.
571.5................  Mergers and           571.5............  Mergers and transfers of assets and liabilities.
transfers of assets
and liabilities.
571.6................  Policy                571.6............  Policy considerations regarding `de novo'
considerations                           applications.
regarding `de novo'
applications for
insurance of
accounts.
571.7................  Conflicts of          571.7............  Conflicts of interest.
interest.
571.8................  Investment in state   571.8............  Investment in state housing corporations.
housing corporation.
571.9................  Corporate             571.9............  Corporate opportunity in savings associations.
opportunity in
insured
institutions.
571.10...............  Gold and gold-        571.10...........  Gold and gold-related transactions.
related
transactions.
571.11...............  Exclusive leases and  571.11...........  Exclusive leases and similar agreements.
similar agreements.
571.12...............  Applications          571.12...........  Applications processing guidelines.
processing
guidelines.
571.13...............  Participation         571.13...........  Participation interests in pools of loans.
interests in pools
of loans.
571.14...............  Fidelity bonds;       571.14...........  Fidelity bonds; acceptable surety companies.
acceptable surety
companies.
571.15...............  Fiduciary activities  571.15...........  Fiduciary activities of state-chartered savings
of state-chartered                       associations and service corporations.
insured
institutions and
service
corporations.
571.16...............  Mortgage-backed-      571.6............  Mortgage-backed-securities transaction.
securities
transaction.
571.17...............  [Previously Removed]  .................  ................................................
571.18...............  Accounting for        571.18...........  Accounting for troubled debt restructuring.
troubled debt
restructuring.
571.19...............  Investment Portfolio  571.19...........  Investment portfolio policy and accounting
Policy and                               guidelines.
accounting
guidelines.

PART 572                                   PART 390

572.1................  Purchase of net       Removed..........  (FDIC-390.1).
worth certificates.
572.2................  Definitions.........  Removed..........  (FDIC-390.2).
572.3................  Application for       Removed..........  (FDIC-390.3).
Corporation
purchases of net
worth certificates.
572.4................  Delegations.........  Removed..........  (FDIC-390.4).
572.5................  Right of appeal.....  Removed..........  (FDIC-390.5).
572.6................  Effect of             Removed..........  (FDIC-390.6).
Corporation
purchase of net
worth certificates.
572.7................  Dividends...........  Removed..........  (FDIC-390.7).
572.8................  Branching...........  Removed..........  (FDIC-390.8).
572.9................  Transactions with     Removed..........  (FDIC-390.9).
holding company.
572.10...............  Board statutory       Removed..........  (FDIC-390.10).
authority.

PART 572a                                   PART 391

572a.1...............  Statement of policy.  Removed..........  (FDIC-391.1).
572a.2...............  Definitions.........  Removed..........  (FDIC-391.2).
572a.3...............  Standards of          Removed..........  (FDIC-391.3).
eligibility.
572a.4...............  Procedure for         Removed..........  (FDIC-391.4).
recommendation and
designation.
572a.5...............  Actions by Principal  Removed..........  (FDIC-391.5).
Supervisory Agent.
572a.6...............  Sunset..............  Removed..........  (FDIC-391.6).

PART 574

574.1................  Scope of part.......  574.1............  Scope of part.
574.2................  Definitions.........  574.2............  Definitions.
574.3................  Acquisition of        574.3............  Acquisition of control of savings associations.
control of insured
institutions.
574.4................  Control.............  574.4............  Control.
574.5................  Certifications of     574.5............  Certifications of ownership and other reports.
ownership and other
reports.
574.6................  Procedural            574.6............  Procedural requirements.
requirements.
574.7................  Determination by the  574.7............  Determination by the Office.
Corporation..
574.8............  Qualified stock issuances by under-capitalized
savings associations or holding companies.

[[Page 716]]


574.8................  Delegations of        574.9............  Delegations of authority.
authority.
574.100..............  Rebuttal of control   574.100..........  Rebuttal of control agreement.
agreement.

PART 575                                   PART 392

575.1................  Purpose.............  Removed..........  (FDIC-392.1).
575.2................  Definitions.........  Removed..........  (FDIC-392.2).
575.3................  Publication of        Removed..........  (FDIC-392.3).
notice.
575.4................  Proof of claim......  Removed..........  (FDIC-392.4).
575.5................  Insured deposits....  Removed..........  (FDIC-392.5).
575.6................  Uninsured deposits..  Removed..........  (FDIC-392.6).
575.7................  Agents of the         Removed..........  (FDIC-392.7).
special
representative.
575.8................  Control log for       Removed..........  (FDIC-392.8).
proofs of claims.
575.9................  Review of proof of    Removed..........  (FDIC-392.9).
claims.
575.10...............  Review on the merits  Removed..........  (FDIC-392.10).
of a claim.
575.11...............  Allowance,            Removed..........  (FDIC-392.11).
disallowance, or
retention for
further review of
claim.
575.12...............  Special               Removed..........  (FDIC-392.12).
representative and
claims counsel.
575.13...............  Elements of review..  Removed..........  (FDIC-392.13).
575.14...............  Request for           Removed..........  (FDIC-392.14).
immediate
determination.
575.15...............  Burden of proof.....  Removed..........  (FDIC-392.15).
575.16...............  Exclusion from        Removed..........  (FDIC-392.16).
claims procedure.
575.17...............  Application of        Removed..........  (FDIC-392.17).
claims procedure.
575.18...............  Criteria for the      Removed..........  (FDIC-392.18).
determination of
claims for
provision of
services, supplies,
and material.
575.19...............  Claims to security,   Removed..........  (FDIC-392.19).
priority, or
preference.

PART 575a                                   PART 393

575a.1...............  Presentment of        Removed..........  (FDIC-393.1).
claims to receivers
required as
prerequisite to
commencing
litigation.
575a.2...............  Inclusion of          Removed..........  (FDIC-393.2).
presentment
requirement in
notices to
potential creditors.

PART 576                                   PART 394

576.1................  Purpose.............  Removed..........  (FDIC-394.1).
576.2................  Notice of right to    Removed..........  (FDIC-394.2).
file a request for
review.
576.3................  Filing a request for  Removed..........  (FDIC-394.3).
review.
576.4................  Control of request    Removed..........  (FDIC-394.4).
for review.
576.5................  Basis for board       Removed..........  (FDIC-394.5).
decision.
576.6................  Burden of proof.....  Removed..........  (FDIC-394.5).
576.7................  Issuance of decision  Removed..........  (FDIC-394.7).
576.8................  Decision in writing.  Removed..........  (FDIC-394.8).
576.9................  Denial of claim.....  Removed..........  (FDIC-394.9).
576.10...............  Requests for          Removed..........  (FDIC-394.10).
extension of time
or waiver of other
procedural
requirements.
576.11...............  Satisfaction of       Removed..........  (FDIC-394.11).
claim certificate.
576.12...............  Procedural questions  Removed..........  (FDIC-394.12).

PART 577        ....................  PART 395

577.1................  Purpose.............  Removed..........  (FDIC-395.1).
577.2................  How to file a         Removed..........  (FDIC-395.2).
request for
expedited relief.
577.3................  Content of request    Removed..........  (FDIC-395.3).
for expedited
relief.
577.4................  Decision............  Removed..........  (FDIC-395.4).
577.5................  Requests for          Removed..........  (FDIC-395.5).
extension of time
or waiver of other
procedural
requirements.

PART 578                                   PART 396

578.1................  Assignment or pledge  Removed..........  (FDIC-396.1).
of Corporation's
assets.

PART 580--POSSESSION
BY RECEIVERS FOR
STATE ASSOCATIONS
580.1............  Scope.
580.2............  Procedure upon taking possession.
580.3............  Notice of appointment.
580.4............  Inventory.
580.5............  Inspection of reports.
580.6............  Delegation by receiver.
580.7............  Final discharge and release of receiver.

PART 583

583.1................  Bank................  583.3............  Bank.

[[Page 717]]


583.1............  Acquire.
583.2................  Board...............  Removed..........  ................................................
583.3................  Corporation.........  Removed..........  ................................................
583.4................  State...............  583.22...........  State.
583.4............  Bank holding company.
583.5................  Supervisory agent...  583.10...........  District Director.
583.5............  BIF.
583.6................  Insured institution.  583.21...........  Savings Association.
583.7................  Uninsured             583.24...........  Uninsured Institution.
institution.
583.8................  Person..............  583.16...........  Person.
583.8............  Corporation.
583.9................  Company.............  583.6............  Company.
583.10...............  Parent Company......  583.15...........  Parent Company.
583.11...............  Savings and loan      583.20...........  Savings and Loan Holding Company.
holding company.
583.12...............  Multiple savings and  583.12...........  Multiple Savings and Loan Holding Company.
loan holding
company.
583.13...............  Diversifed savings    583.11...........  Diversified Savings and Loan Holding Company.
and loan holding
company.
583.13...........  Office.
583.14...............  Subsidiary..........  583.23...........  Subsidiary.
583.15...............  Affiliate...........  583.2............  Affiliate.
583.16...............  Debt security.......  Removed..........  ................................................
583.17...............  Outstanding debt....  Removed..........  ................................................
583.17...........  Qualified thrift lender.
583.18...............  Net worth...........  Removed..........  ................................................
583.19...............  Consolidated net      Removed..........  ................................................
worth.
583.19...........  SAIF.
583.20...............  Consolidated net      Removed..........  ................................................
earnings.
583.21...............  Consolidated net      Removed..........  ................................................
income available
for interest.
583.22...............  Consolidated debt     Removed..........  ................................................
service
requirements.
583.23...............  Registrant..........  583.18...........  Registrant.
583.24...............  Officer.............  583.14...........  Officer.
583.25...............  Director............  583.9............  Director.
583.26...............  Control.............  583.7............  Control.
583.27...............  Qualified thrift      584.6............  Qualified thrift lender status.
lender status.

PART 584

584.1................  Registration,         584.1............  Registration, examination, and reports.
examination, and
reports.
584.2................  Prohibited            584.2............  Prohibited activities.
activities.
584.2a...............  Exempt savings and    584.2a...........  Exempt savings and loan holding companies and
loan holding                             grandfathered activities.
companies and
grandfathered
activities.
584.2-1..............  Prescribed services   584.2-1..........  Prescribed services and activities of savings
and activities of                        and loan holding companies.
savings and loan
holding companies.
584.2-2..............  Permissible           584.2-2..........  Permissible bank holding company activities of
nonbanking                               savings and loan holding companies.
activities of
savings and loan
holding companies.
584.3................  Transactions with     584.3............  Transactions with affiliates.
affiliates.
584.4................  Prohibited            584.4............  Prohibited acquisitions.
acquisitions.
584.4-1..............  [Previously Removed]  .................  ................................................
584.5................  Advance notice of     584.5............  Advance notice of proposed dividend
proposed dividend                        declarations.
declarations.
584.5-1..............  Relief from           Removed..........  ................................................
outstanding
prohibitions on
payment of
dividends.
584.6................  Holding company       Removed..........  ................................................
indebtedness.
584.7................  Payment of dividends  Removed..........  ................................................
to a diversified
savings and loan
holding company.
584.8................  Claims of             Removed..........  ................................................
diversified savings
and loan holding
company status.
584.9................  Prohibited acts.....  584.9............  Prohibited acts.
584.10...............  Statements,           584.10...........  Statements, applications, reports, and notices
applications,                            to be filed.
reports, and
notices to be filed.

PART 585

585.1................  Amendment of          Removed..........  ................................................
regulations.
585.2................  Hearings............  584.11...........  Hearings.

PART 588

588.1................  Applications          Removed..........
involving gold or
gold-related
transactions.

PART 589

589.1................  [Previously Removed]  .................  ................................................
589.2................  [Previously Removed]  .................  ................................................
589.3................  [Previously Removed]  .................  ................................................

PART 590


[[Page 718]]


590.1................  Authority, purpose,   590.1............  Authority, purpose, scope.
scope.
590.2................  Definitions.........  590.2............  Definitions.
590.3................  Operation...........  590.3............  Operation.
590.4................  Consumer protection   590.4............  Consumer protection rules for federally-related
rules for federally-                     loans, mortgages, credit sales and advance
related loans,                           secured by first liens on residential mobile
mortgages, credit                        homes.
sales and advances
secured by first
liens on
residential mobile
homes.
590.5................  Interpretations.....  Removed..........  ................................................
590.100..............  Status of             590.100..........  Status of interpretations issued under Public
interpretations                          Law 96-161.
issued under Public
Law 96-161.
590.101..............  State criminal usury  590.101..........  State criminal usury statutes.
statutes.

PART 591

591.1................  Authority, purpose,   591.1............  Authority, purpose, and scope.
and scope.
591.2................  Definitions.........  591.2............  Definitions.
591.3................  Loans originated by   591.3............  Loans originated by Federal savings
federal                                  associations.
associations.
591.4................  Loans originated by   591.4............  Loans originated by lenders other than federal
lenders other than                       savings associations.
federal
associations.
591.5................  Limitation on         591.5............  Limitation on exercise of due-on-sale clauses.
exercise of due-on-
sale clauses.
591.6................  Interpretations.....  591.6............  Interpretations.

PART 592

592.1................  Definitions.........  Removed..........  ................................................
592.2-592.10.........  [Reserved]..........  Removed..........  ................................................
592.11...............  General authority...  Removed..........  ................................................
592.12...............  Assessments on        Removed..........  ................................................
insured
institutions.
592.13-592.16........  [Reserved]..........  Removed..........  ................................................
592.17...............  Book-entry procedure  Removed..........  ................................................
for Financing
Corporation
securities.
----------------------------------------------------------------------------------------------------------------





[[Page 719]]



Redesignation Table V



Part 19 was revised at 55 FR 13013, Apr. 6, 1990. The following
distribution table shows the relationship of former section numbers in
Part 19 to the new sections numbers.

------------------------------------------------------------------------
Old section   New section
No.           No.
------------------------------------------------------------------------
Subpart A--General Provisions

------------------------------------------------------------------------
Scope of part...............................      19.1          19.0
Definitions.................................      19.0          19.1
Retained authority..........................      19.17         19.2
Appearance and practice before the OCC......      19.3          19.3
Ex parte communications.....................  ............      19.4
Time limits.................................      19.6          19.5

---------------------------------------------
Subpart B--Institution of Adjudicatory Proceedings; Pleadings; Motions;
Interlocutory Review

------------------------------------------------------------------------
Commencement of proceedings; notice and           19.2          19.10
answer.....................................
Filing and service..........................      19.4          19.11
Form and signature of papers................      19.5          19.12
Good faith certification....................  ............      19.13
Motions.....................................      19.7          19.14
Interlocutory review........................      19.7(d)       19.15

---------------------------------------------
Subpart C--Parties and Limited Participation by Nonparties

------------------------------------------------------------------------
Parties.....................................  ............      19.20
Limited participation by nonparties.........  ............      19.21
Comptroller's review of ruling on limited     ............      19.22
participation..............................

---------------------------------------------
Subpart D--Prehearing Procedures; Prehearing Conferences; Discovery

------------------------------------------------------------------------
Prehearing conferences; procedural matters..      19.10(b)      19.30
Prehearing exchange of information..........  ............      19.31
Stipulations................................  ............      19.32
Discovery...................................  ............      19.33
Subpoenas...................................      19.8          19.34

---------------------------------------------
Subpart E--Formal Hearings

------------------------------------------------------------------------
Conduct of formal hearing...................      19.10         19.40
Authority of the presiding officer..........      19.10(a)      19.41
Judicial notice; admissibility of copies and  ............      19.42
proffers...................................
Public hearings.............................      19.10(c)      19.43
Confidentiality of proceeding...............      19.16         19.44
Summary disposition.........................  ............      19.45

---------------------------------------------
Subpart F--Post Hearing Procedures; Initial Decision

------------------------------------------------------------------------
Proposed findings and conclusions; briefs...      19.11(a)      19.50
Submissions by limited participants.........  ............      19.51
Initial decision of presiding officer.......      19.11(b)      19.52

---------------------------------------------
Subpart G--Review by the Comptroller; Final Decision

------------------------------------------------------------------------
Review of initial decision..................  ............      19.60
Oral argument before the Comptroller........      19.13         19.61
Notice of submission to the Comptroller.....      19.14         19.62
Remand of the initial decision or order.....  ............      19.63
Decision of the Comptroller.................      19.15         19.64
Stay of proceeding or final order...........  ............      19.65

---------------------------------------------
Subpart H--Cease-and-Desist Proceedings

------------------------------------------------------------------------
Scope.......................................      19.18         19.70
Notice of charges and answer................      19.19         19.71
Cease-and-desist orders.....................      19.21         19.72

---------------------------------------------
Subpart I--Assessment of Civil Money Penalty

------------------------------------------------------------------------
Scope.......................................      19.22         19.80
Notice of assessment; request for hearing;        19.23         19.81
answer.....................................
Notice of hearing...........................      19.24         19.82
Assessment orders...........................      19.25         19.83

---------------------------------------------
Subpart J--Removals, Suspensions and Prohibitions Generally

------------------------------------------------------------------------
Scope.......................................      19.26         19.90
Notice of intention to remove and answer....      19.27         19.91
Removal or prohibition by order.............      19.29         19.92

---------------------------------------------
Subpart K--Removals, Suspensions and Prohibitions When a Crime is
Charged or a Conviction is Obtained

------------------------------------------------------------------------
Scope.......................................      19.30         19.100

[[Page 720]]


Suspension or removal.......................      19.31         19.101
Informal hearing............................      19.32         19.102
Initial and final decisions.................      19.33         19.103

---------------------------------------------
Subpart L--Disciplinary Proceedings Involving the Federal Securities
Laws

------------------------------------------------------------------------
Scope.......................................      19.34         19.110
Notice of charges and answer................      19.35         19.111
Disciplinary orders.........................      19.36         19.112

---------------------------------------------
Subpart M--Exemption Hearings Under Section 12(h) of the Securities
Exchange Act of 1934

------------------------------------------------------------------------
Scope.......................................      19.37         19.120
Application for exemption...................      19.38         19.121
Newspaper notice............................      19.39         19.122
Informal hearing............................      19.40         19.123
Decision of the Comptroller.................      19.41         19.124

---------------------------------------------
Subpart N--Formal Investigations

------------------------------------------------------------------------
Scope.......................................      19.42         19.130
Confidentiality of formal investigations....      19.43         19.131
Order to conduct a formal investigation.....      19.44         19.132
Rights of witnesses.........................      19.45         19.133
Service of subpoena and payment of witness        19.46         19.134
fees.......................................

---------------------------------------------
Subpart O--Parties and Representational Practice Before the OCC:
Standards of Conduct

------------------------------------------------------------------------
Scope.......................................  ............      19.140
Sanctions relating to conduct in an           ............      19.141
administrative proceeding..................
Censure, suspension or debarment............  ............      19.142
Definitions.................................  ............      19.143
Eligibility to practice.....................  ............      19.144
Incompetence................................  ............      19.145
Disreputable conduct........................  ............      19.146
Initiation of disciplinary proceeding.......  ............      19.147
Conferences.................................  ............      19.148
Proceedings under this subpart..............  ............      19.149
Effect of suspension, debarment, or censure.  ............      19.150
Petition for reinstatement..................  ............      19.151

---------------------------------------------
Provisions Deleted From Former Part 19

------------------------------------------------------------------------
Depositions.................................      19.9      ............
Temporary cease-and-desist orders...........      19.20     ............
Suspension or prohibition by notice.........      19.28     ............
------------------------------------------------------------------------