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Commodity and

Securities
Exchanges

17

PARTS 200 to 239

TFA

LCO

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Revised as of April 1, 1995

CONTAINING

A CODIFICATION OF DOCUMENTS OF GENERAL APPLICABILITY

AND FUTURE EFFECT

AS OF APRIL 1, 1995

With Ancillaries

Published by

the Office of the Federal Register National Archives and Records

Administration

as a Special Edition of the Federal Register

PB

t. 17

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3 6105 061 847 534

U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 1995

For sale by U.S. Government Printing Office

Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328

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Cite this Code: CFR

To cite the regulations in this volume use title, part and section number. Thus, 17 CFR 200.1 refers to title 17, part 200, section 1.

Explanation

The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the Executive departments and agencies of the Federal Government. The Code is divided into 50 titles which represent broad areas subject to Federal regulation. Each title is divided into chapters which usually bear the name of the issuing agency. Each chapter is further subdivided into parts covering specific regulatory areas.

Each volume of the Code is revised at least once each calendar year and issued on a quarterly basis approximately as follows:

Title 1 through Title 16...
Title 17 through Title 27.
Title 28 through Title 41.

Title 42 through Title 50..

.as of January 1

...as of April 1 ..as of July 1

..as of October 1

The appropriate revision date is printed on the cover of each volume. LEGAL STATUS

The contents of the Federal Register are required to be judicially noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

The Code of Federal Regulations is kept up to date by the individual issues of the Federal Register. These two publications must be used together to determine the latest version of any given rule.

To determine whether a Code volume has been amended since its revision date (in this case, April 1, 1995), consult the "List of CFR Sections Affected (LSA),” which is issued monthly, and the "Cumulative List of Parts Affected," which appears in the Reader Aids section of the daily Federal Register. These two lists will identify the Federal Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

Each volume of the Code contains amendments published in the Federal Register since the last revision of that volume of the Code. Source citations for the regulations are referred to by volume number and page number of the Federal Register and date of publication. Publication dates and effective dates are usually not the same and care must be exercised by the user in determining the actual effective date. In instances where the effective date is beyond the cutoff date for the Code a note has been inserted to reflect the future effective date. In those instances where a regulation published in the Federal Register states a date certain for expiration, an appropriate note will be inserted following the text.

OMB CONTROL NUMBERS

The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires Federal agencies to display an OMB control number with their information collection request. Many agencies have begun publishing numerous OMB control numbers as amend

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