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Title 17—COMMODITY AND SECURITIES EXCHANGES is composed of three volumes. The first volume containing parts 1 to 199, comprises Chapter I-Commodity Futures Trading Commission. The second volume contains Chapter II—Securities and Exchange Commission, parts 200 to 239. The third volume, comprising part 240 to End, contains the remaining regulations of the Securities and Exchange Commission, and Chapter IV–Department of the Treasury. The contents of these volumes represent all current regulations issued by the Commodity Futures Trading Commission, the Securities and Exchange Commission, and the Department of the Treasury as of April 1, 1998.

The OMB control numbers for the Securities and Exchange Commission appear in $ 200.800 of chapter II. For the convenience of the user, $ 200.800 is reprinted in the Finding Aids section of the volume containing part 240 to End.

For this volume, Gregory R. Walton was Chief Editor. The Code of Federal Regulations publication program is under the direction of Frances D. McDonald, assisted by Alomha S. Morris.

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know...
if any changes have been made to the Code
of Federal Regulations or what documents
have been published in the Federal Register
without reading the Federal Register every
day? If so, you may wish to subscribe to the
LSA (List of CFR Sections Affected), the
Federal Register Index, or both.

LSA
The LSA (List of CFR Sections Affected) is
designed to lead users of the Code of Federal
Regulations to amendatory actions published in
the Federal Register. The LSA is issued monthly in
cumulative form. Entries indicate the nature of the
changes such as revised, removed, or corrected.
$27 per year.

Federal Register Index
The index, covering the contents of the daily
Federal Register, is issued monthly in cumulative
form. Entries are carried primarily under the names
of the issuing agencies. Significant subjects are
carried as cross-references.
$25 per year.
A finding aid is included in each publication which
lists Federal Register page numbers with the date
of publication in the Federal Register.

Superintendent of Documents Subscription Order Form
Order Processing code: YES, send me the following indicated subscriptions for one year:
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LSA (List of CFR Sections Affected), (LCS) for $27 per year.
Federal Register Index (FRSU) $25 per year.

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and Securities

Exchanges

(This book contains parts 200 to 239)

Part

CHAPTER II—Securities and Exchange Commission

200

COMMISSION

Page

Part 200

201 202 203 204 209

5 133 189 196 198

212

210

213

211

Organization; conduct and ethics; and information

and requests
Rules of practice
Informal and other procedures
Rules relating to investigations
Rules relating to debt collection
Forms prescribed under the commission's rules of

practice
Form and content of and requirements for finan-

cial statements, Securities Act of 1933, Securities
Exchange Act of 1934, Public Utility Holding
Company Act of 1935, Investment Company Act
of 1940, and Energy Policy and Conservation Act

of 1975 ....
Interpretations relating to financial reporting

matters .....
Integrated disclosure system for small business

issuers
Standard instructions for filing forms under Secu-

rities Act of 1933, Securities Exchange Act of 1934
and Energy Policy and Conservation Act of 1975

Regulation S-K ............
General rules and regulations, Securities Act of

1933
Interpretative releases relating to the Securities

Act of 1933 and general rules and regulations

thereunder
Regulation S-T-General rules and regulations for
electronic filings

....
Forms prescribed under the Securities Act of 1933

290

228

292

229

340

230

441

231

601

232

........

608 622

239

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