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Commodity and
Securities Exchanges
Revised as of April 1, 1977

code of
federal regulations


AS OF APRIL 1, 1977

With Ancillaries

Published by
the Office of the Federal Register
National Archives and Records Service
General Services Administration

as a Special Edition of
the Federal Register



For sale by the Superlatendent of Documents, U.S. Government Printing Omce, Washington, D.C. 20402

Subscription Price: $350 per year; $75 additional for foreign malling.

Single copies vary in price. This issue $6.75

Cite this Code CFR

thus: 17 CFR 1.1


of the Federal Gordo Federal regulatiogency. Each chapter

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. ISSUE DATES

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----

-----as of January 1 Title 17 through Title 27---

-----as of April 1 Title 28 through Title 41---

------as of July 1 Title 42 through Title 50---

------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 there have been any amendments since the revision date of the Code volume in which the user is interested in this case, April 1, 1977) the following two lists must be consulted: the "Cumulative List of CFR Sections Affected” issued monthly and the “Cumulative List of Parts Affected” which appears daily in the Federal Register. These two lists will refer the user to the Federal Register page where he may find the latest amendment of any given rule. EFFECTIVE 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 cut-off date for the Code a note has been inserted to reflect the future effective date.

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