[Federal Register Volume 59, Number 27 (Wednesday, February 9, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-2826]
[[Page Unknown]]
[Federal Register: February 9, 1994]
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SECURITIES AND EXCHANGE COMMISSION
17 CFR PARTS 200, 202, 203, 230, 239, 240, 249, 249b, 259, 269,
274, 275, and 279
[Release No. 34-33573]
Regional Office Reorganization
ACTION: Final rule amendments.
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SUMMARY: The Securities and Exchange Commission is amending its rules
to reflect the reorganization of its regional offices into five
regional and six district offices. The Director of the Division of
Enforcement will have overall responsibility for the five regional
offices, but other Division Directors will continue to be responsible
for managing their respective programs in each regional and district
office. This reorganization is designed to create a more efficient
reporting structure and to improve program accountability. The
Commission is also correcting addresses appearing in its rules and
eliminating certain redundant rules of organization.
EFFECTIVE DATE: February 9, 1994.
FOR FURTHER INFORMATION CONTACT: James Clarkson, Director, Regional
Office Operations, (202) 272-3090; Anne Sullivan, Office of General
Counsel, (202) 272-7525.
SUPPLEMENTARY INFORMATION: On August 27, 1993, the Chairman of the
Securities and Exchange Commission announced a new structure for
regional offices and changed the designations of the offices and of
their chief supervisory personnel. This change is intended to improve
program services and streamline the operation of regional and district
offices.
As a result of the reorganization, the former structure in which
there were nine regional offices and three branch offices has now been
replaced by a new structure comprised of five regional offices and six
district offices. The heads of regional offices, located in New York,
Miami, Chicago, Denver, and Los Angeles, are now designated Regional
Directors. The chief supervisory personnel for the district offices,
located in Boston, Philadelphia, Atlanta, Fort Worth, Salt Lake City,
and San Francisco, are designated District Administrators.1 The
District Offices and their Administrators will operate under the
supervision of the Regional Directors. The Director of the Division of
Enforcement has overall responsibility for the five regional offices;
other Commission Division Directors are responsible for managing their
respective programs in each office.2
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\1\The Commission will close its Seattle District Office in July
1994 and transfer the functions of that office to the two other
Pacific Region offices. Registrants currently filing with the
Seattle District Office should continue to do so until June 30,
1994; thereafter, all registrants in the Pacific Region should make
required filings in the Commission's Pacific Regional Office,
located at 5670 Wilshire Boulevard, 11th Floor, Los Angeles,
California 90036. Until July, the Seattle District Office will be
located at 915 Second Avenue, Seattle, Washington, 98174, and will
be open from 8 a.m. until 4:30 p.m. Pacific Standard Time.
\2\The Commission will continue to conduct regulatory functions
in regional and district offices. Thus, both types of offices will
perform regulatory functions with respect to registered brokers,
dealers, transfer agents, investment companies, investment advisers,
and others, and will receive filings from those registered entities
as well as from other designated reporting entities, such as
government securities brokers and dealers.
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In order to reflect this reorganization, the Commission is amending
certain of its rules to substitute the terms ``regional director'' or
``district administrator'' for ``regional administrator'' where
appropriate, and to add the term ``district'' where appropriate in
rules which refer to ``regional offices.'' In addition, the Commission
is updating the addresses which appear in its rules for all its field
offices. It is also adding rules which describe the duties of district
administrators and delegate authority to these persons.3 Finally,
the Commission is removing Subpart E of its Rules of Organization,
Conduct and Ethics, and Information, relating to Deputy Employment
Officers, which is superseded by regulations covering agency equal
employment opportunity programs in 29 CFR Part 1614, and therefore is
no longer necessary.4
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\3\By separate action, certain functions previously carried on
in most field offices have been consolidated. In Securities Act
Release No. 7034 (Dec. 8, 1993), the Commission reduced the offices
in which small business filings may be made to four regional offices
and one district office. Consistent with this change, authority
under the Securities Act of 1933 will not be extended by rule to
District Administrators, but will be separately delegated by the
Chairman only to the Atlanta District Office.
\4\The Commission is not changing references to regional offices
in any rule relating to member or employee conduct because it
anticipates that the entire conduct rules will be revised in the
near future.
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The Commission has determined that these amendments and additions
to its rules relate solely to the agency's organization, procedure or
practice. Therefore, the provisions of the Administrative Procedure Act
(``APA'') regarding notice of proposed rulemaking and opportunities for
public participation,5 are not applicable. Similarly, the
provisions of the Regulatory Flexibility Act,6 which apply only
when notice and comment are required by the APA or other law, are not
applicable.
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\5\5 U.S.C. 553.
\6\5 U.S.C. 603(a).
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Effects on Competition
Section 23(a)(2) of the Securities Exchange Act of 1934 (``Exchange
Act'')7 requires the Commission, in adopting rules under the
Exchange Act, to consider the anti-competitive effects of such rules,
if any, and to balance any impact against the regulatory benefits
gained in terms of furthering the purposes of the Exchange Act. The
Commission has considered the regional office reorganization, editing,
and nomenclature changes adopted in this release in light of the
standards cited in section 23(a)(2) and believes that their adoption
would not impose any burden on competition not necessary or appropriate
in furtherance of the Exchange Act.
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\7\15 U.S.C. 78w(a)(2).
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Statutory Basis or Rule
The amendments to the Commission's rules are adopted pursuant to
the authorities set forth therein.
List of Subjects
17 CFR Part 200
Administrative practice and procedure, Authority delegations
(Government agencies), Equal employment opportunity, Freedom of
information, government employees, Organization and functions
(Government agencies), Reporting and recordkeeping requirements.
17 CFR Part 202
Administrative practice and procedure.
17 CFR Part 203
Administrative practice and procedure, Investigations.
17 CFR Parts 230, 239, 240, 249, 249b, 259, 269, 274, 275, and 279
Reporting and recordkeeping requirements.
In accordance with the foregoing, 17 CFR, chapter II of the Code of
Federal Regulations is amended as follows:
PART 200--ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND
REQUESTS
Subpart A--Organization and Program Management
1. The authority citation for part 200, subpart A, is amended by
adding the following citation:
Authority: 15 U.S.C. 77s, 78d-1, 78d-2, 78w, 78ll(d), 79t,
77sss, 80a-37, 80b-11, unless otherwise noted.
Sections 200.27, 200.27a, 200.30-6, and 200.30-6a are also
issued under 15 U.S.C. 77e, 77f, 77g, 77h, 77j, 77q, 77u, 78e, 78g,
78h, 78i, 78k, 78m, 78o, 78o-4, 78q, 78q-1, 78t-1, 78u, 77hhh,
77uuu, 80a-41, 80b-5, and 80b-9.
* * * * *
2. Section 200.11 is amended by revising the section heading and
paragraphs (a)(2) and (b) and adding paragraph (c) to read as follows:
Sec. 200.11 Headquarters Office--Regional and District Office
relationships.
(a) * * *
(2) Each Regional Director is responsible, subject to the
supervision of the Director of the Division of Enforcement, for the
direction and supervision of his or her work force and for the
execution of all programs in his or her region as shown in paragraph
(b) of this section, in accordance with established policy. Each
District Administrator is responsible, subject to the supervision of
the relevant Regional Director, for the direction and supervision of
his or her work force and for the execution of all programs through his
or her office, in accordance with established policy.
(b) Regional Directors and District Administrators of the
Commission.
Region 1: Northeast Region. Connecticut, Delaware, District of
Columbia, Maine, Maryland, Massachusetts, New Hampshire, New Jersey,
New York, Pennsylvania, Rhode Island, Vermont, Virginia, West
Virginia--Regional Director, 7 World Trade Center, suite 1300, New
York, NY 10048.
Boston District--District Administrator, 73 Tremont Street,
Sixth Floor, suite 600, Boston, MA 02108.
Philadelphia District--District Administrator, The Curtis
Center, suite 1005 E., 601 Walnut Street, Philadelphia, PA 19106.
Region 2: Southeast Region. Alabama, Florida, Georgia, Louisiana,
Mississippi, North Carolina, Puerto Rico, South Carolina, Tennessee,
Virgin Islands--Regional Director, 1401 Brickell Avenue, suite 200,
Miami, FL 33131.
Atlanta District--District Administrator, 3475 Lenox Road, NE.,
suite 1000, Atlanta, GA 30326.
Region 3: Midwest Region. Illinois, Indiana, Iowa, Kentucky,
Michigan, Missouri, Ohio, Wisconsin--Regional Administrator,
Northwestern Atrium Center, 500 West Madison Street, suite 1400,
Chicago, IL 60611.
Region 4: Central Region. Arkansas, Colorado, Kansas, Nebraska, New
Mexico, North Dakota, Oklahoma, South Dakota, Texas, Utah, Wyoming--
Regional Administrator, 1801 California Street, suite 4800, Denver,
CO 80202.
Fort Worth District--District Administrator, 801 Cherry Street,
19th Floor, Fort Worth, TX 76102. Salt Lake District--District
Administrator, 500 Key Bank Tower, 50 S. Main Street, suite 500, Box
79, Salt Lake City, UT 84144.
Region 5: Pacific Region. Alaska, Arizona, California, Guam, Hawaii,
Idaho, Montana, Nevada, Oregon, Washington--Regional Director, 5670
Wilshire Boulevard, 11th Floor, Los Angeles, CA 90036.
San Francisco District--District Administrator, 44 Montgomery
Street, San Francisco, CA 94104.
(c) The following geographic allocation determines where registered
brokers, dealers, transfer agents, clearing agents, registered
securities associations, investment advisers, and others as designated
in this chapter must file reports required to be filed in regional or
district offices:
Northeast Regional Office: New Jersey, New York.
Boston District Office: Connecticut, Maine, Massachusetts, New
Hampshire, Rhode Island, Vermont.
Philadelphia District Office: Delaware, District of Columbia,
Maryland, Pennsylvania, Virginia, West Virginia.
Southeast Regional Office: Florida, Puerto Rico, Virgin Islands.
Atlanta District Office: Alabama, Georgia, Louisiana,
Mississippi, North Carolina, South Carolina, Tennessee.
Midwest Regional Office: Illinois, Indiana, Iowa, Kentucky, Ohio,
Michigan, Minnesota, Missouri, Wisconsin.
Central Regional Office: Colorado, Nebraska, New Mexico, North
Dakota, South Dakota, Utah, Wyoming.
Fort Worth District Office: Arkansas, Kansas, Oklahoma, Texas.
Pacific Regional Office: Alaska, Arizona, California, Guam, Hawaii,
Idaho, Montana, Nevada, Oregon, Washington.
Sec. 200.12 [Amended]
3. In Sec. 200.12, remove the words ``Regional Administrators'' and
add, in their place, the words ``Regional Directors and District
Administrators''.
4. Section 200.27 is amended by revising the section heading,
removing the words ``Regional Administrator'' and ``Regional
Administrators''' and adding in their place ``Regional Director'' and
``Regional Directors''' and revising the last sentence to read as
follows:
Sec. 200.27 The Regional Directors.
* * * In addition, the Northeast Regional Director is responsible
for the Commission's participation in cases under chapters 9 and 11 of
the Bankruptcy Code in the Northeast Region, excepting Delaware,
District of Columbia, Maryland, Virginia, and West Virginia; the
Southeast Regional Director is responsible for such participation in
the Southeast Region, as well as Delaware, District of Columbia,
Maryland, Virginia, and West Virginia; the Midwest Regional Director is
responsible for such participation in the Midwest and Central Regions,
excepting Utah; and the Pacific Regional Director is responsible for
such participation in the Pacific Region and Utah.
5. Section 200.27a is added to read as follows:
Sec. 200.27a The District Administrators.
Each District Administrator is responsible for executing the
Commission's programs as set forth below, subject to review by the
appropriate Regional Director and policy direction and review by the
relevant Division Directors, the General Counsel, and the Chief
Accountant in Washington, DC. The District Administrators'
responsibilities include particularly the investigation of transactions
in securities on national securities exchanges, in the over-the-counter
market, and in distribution to the public; the examination of members
of national securities exchanges and registered brokers and dealers,
transfer agents, investment advisers and investment companies including
the examination of reports filed under Sec. 240.17a-5 of this chapter;
the prosecution of injunctive actions in U.S. District Courts and
administrative proceedings before Administrative Law Judges; the
rendering of assistance to U.S. Attorneys in criminal cases; and the
making of the Commission's facilities more readily available to the
public in that district.
Sec. 200.30-1 [Amended]
6. In Sec. 200.30-1(g)(2), remove the word ``Administrator'' and
add, in its place, the word ``Director''.
Sec. 200.30-5 [Amended]
7. In Sec. 200.30-5(i)(1), remove the word ``Administrator'' and
add, in its place, the word ``Director''.
Sec. 200.30-6 [Amended]
8. In Sec. 200.30-6, amend the section heading by removing the word
``Administrators'' and adding, in its place, the word ``Directors'' and
remove the word ``Administrator'' each time it appears and add, in its
place, the word ``Director'' .
9. In the introductory text of paragraph (a) of Sec. 200.30-6,
remove the words ``Form S-18 ( Sec. 239.28 of this chapter)'' and add,
in their place, the words ``Forms SB-1 and SB-2 (Secs. 239.9 and 239.10
of this chapter)''.
10. Section 200.30-6a is added to read as follows:
Sec. 200.30-6a Delegation of authority to District Administrators.
Pursuant to the provisions of Pub. L. 87-592, 76 Stat. 394, 15
U.S.C. 78d-1, the Securities and Exchange Commission hereby delegates,
until the Commission orders otherwise, the following functions to each
District Administrator, to be performed by him or her or under his or
her direction by such person or persons as may be designated from time
to time by the Chairman of the Commission:
(a) With respect to the Securities Exchange Act of 1934 (15 U.S.C.
78a et seq.):
(1) Pursuant to section 15(b)(2)(C) of the Act (15 U.S.C.
78o(b)(2)(C)):
(i) To delay until the second six-month period from registration
with the Commission the inspection of newly registered broker-dealers
that have not commenced actual operations within six months of their
registration with the Commission; and
(ii) To delay until the second six-month period from registration
with the Commission the inspection of newly registered broker-dealers
to determine whether they are in compliance with applicable provisions
of the Act and rules thereunder, other than financial responsibility
rules.
(2) Pursuant to Rule 0-4 (Sec. 240.0-4 of this chapter), to
disclose to the Comptroller of the Currency, the Board of Governors of
the Federal Reserve System and the Federal Deposit Insurance
Corporation and to the state banking authorities, information and
documents deemed confidential regarding registered clearing agencies
and registered transfer agents, Provided That, in matters in which the
Commission has entered a formal order of investigation, such disclosure
shall be made only with the concurrence of the Director of the Division
of Enforcement or his or her delegate and the General Counsel or his or
her delegate.
(b) With respect to the Investment Advisers Act of 1940 (15 U.S.C.
80b-1 et seq.): Pursuant to Rule 204-2(j)(3)(ii) (Sec. 275.204-
2(j)(3)(ii) of this chapter), to make written demands upon non-resident
investment advisers subject to the provisions of such rule to furnish
to the Commission true, correct, complete and current copies of any or
all books and records which such non-resident investment advisers are
required to make, keep current or preserve pursuant to any provisions
of any rule or regulation of the Commission adopted under the
Investment Advisers Act of 1940, or any part of such books and records
which may be specified in such demand.
(c) In nonpublic investigatory proceedings within the
responsibility of the District Administrator, to grant requests of
persons to procure copies of the transcript of their testimony given
pursuant to Rule 6 of the Commission Rules Relating to Investigations
(Sec. 203.6 of this chapter).
(d) To notify the Securities Investor Protection Corporation
(``SIPC'') of facts concerning the activities and the operational and
financial condition of any registered broker or dealer which is or
appears to be a member of SIPC and which is in or approaching financial
difficulty within the meaning of Section 4 of the Securities Investor
Protection Act of 1970 as amended (15 U.S.C. 78aaa et seq.).
(e) Notwithstanding anything in the foregoing, in any case in which
the District Administrator believes it appropriate, he or she may
submit the matter to the Commission.
Sec. 200.30-11 [Amended]
11. In Sec. 200.30-11(c)(2), add the words ``or district'' after
the word ``regional'' .
Subpart D--Information and Requests
12. The authority citation for part 200, subpart D continues to
read in part as follows:
Authority: 80 Stat. 383, as amended, 31 Stat. 54, secs. 19, 23,
48 Stat. 85, 901, as amended, sec. 20, 49 Stat. 85, 833, sec. 319,
53 Stat. 1173, secs. 38, 211, 54 Stat. 841, 855; 5 U.S.C. 552, as
amended, 15 U.S.C. 77f(d), 77s, 77ggg(a), 78m(F)(3), 78w, 79t,
79v(a), 77sss, 80a-37, 80a-44(c), 80a-44(b), 80b-10(a), 80b-11.
* * * * *
13. In Sec. 200.80(c)(1)(ii), add the words ``and district'' after
the word ``regional'' each time it appears, and revise the flush text
and the list of addresses appearing in paragraph (c)(1)(iii) as
follows:
Sec. 200.80 Commission records and information.
* * * * *
(c) * * *
(1) * * *
(iii) * * *
The addresses of the Commission's regional and district offices
are:
Northeast Regional Office. 7 World Trade Center, suite 1300, New
York, NY 10048. Office hours--9 a.m. to 5:30 p.m. E.S.T.
Boston District Office--73 Tremont Street, suite 600, Boston, MA
02108. Office hours--9 a.m. to 5:30 p.m. E.S.T.
Philadelphia District Office--The Curtis Center, suite 1005 E.,
601 Walnut Street, Philadelphia, PA 19106. Office hours--9 a.m. to
5:30 p.m. E.S.T.
Southeast Regional Office. 1401 Brickell Avenue, suite 200, Miami,
FL 33131. Office hours--8:30 a.m. to 5 p.m. E.S.T.
Atlanta District Office--Lenox Road, NE., suite 1000, Atlanta,
GA 30326. Office hours--9 a.m. to 5:30 p.m. E.S.T.
Midwest Regional Office. Northwestern Atrium Center, 500 West
Madison Street, suite 1400, Chicago, IL 60611. Office hours--8:45
a.m. to 5:15 p.m. C.S.T.
Central Regional Office. 1801 California Street, suite 4800, Denver,
CO 80202. Office hours--8 a.m. to 4:30 p.m. M.S.T.
Fort Worth District Office--801 Cherry Street, 19th Floor, Fort
Worth, TX 76102. Office hours--8:30 a.m. to 5 p.m. C.S.T.
Salt Lake District Office--500 Key Bank Tower, 50 S. Main
Street, suite 500, Box 79, Salt Lake City, UT 84144. Office hours--8
a.m. to 4:30 p.m. M.S.T.
Pacific Regional Office. 5670 Wilshire Boulevard, 11th Floor, Los
Angeles, CA 90036. Office hours 8:30 a.m. to 5 p.m. P.S.T.
San Francisco District Office--44 Montgomery Street, San
Francisco, CA 94104. Office hours--8:30 a.m. to 5 p.m. P.S.T.
* * * * *
14. In Sec. 200.80(c)(2), remove the words ``Branch Offices'' and,
in their place, add the words ``District Offices''.
15. In Sec. 200.80 (d)(7)(i) and (e)(7)(iii), remove the word
``branch'' each time it appears and, in its place, add the word
``district''.
16. In the introductory text of Sec. 200.80(e), add the words ``or
district'' after the word ``regional''.
Subpart E--Regulation Regarding Equal Employment Opportunity
17. Subpart E is removed and reserved.
Subpart G--Plan of Organization and Operation Effective During
Emergency Conditions
18. The authority citation for part 200, subpart G continues to
read in part as follows:
Authority: 15 U.S.C. 77s, 78w, 79t, 77sss, 80a-37, 80b-11,
unless otherwise noted.
* * * * *
Sec. 200.202 [Amended]
19. In Sec. 200.202(a), remove the word ``Branch'', and add, in its
place, the word ``District'', and remove the words ``Regional
Administrator'' and add, in their place, the words ``Regional Director
or District Administrator''.
20. In Sec. 200.203(c)(1)(vi), remove the word ``Administrators''
and add, in its place, the word ``Directors'' and add paragraph
(c)(1)(vii) to read as follows:
Sec. 200.203 Organization, and delegations of authority.
* * * * *
(c) * * *
(1) * * *
(vii) The District Administrators in order of seniority.
* * * * *
Sec. 200.204 [Amended]
21. In Sec. 200.204, remove the words ``Regional Administrators''
and add, in their place, the words ``Regional Directors and District
Administrators''.
Subpart H--Regulations Pertaining to the Privacy of Individuals and
Systems of Records Maintained by the Commission
22. The authority citation for part 200, subpart H continues to
read in part as follows:
Authority: Pub. L. 93-579, sec. (f), 5 U.S.C. 552a(f), unless
otherwise noted.
* * * * *
23. In Sec. 200.303 (a)(2) and (b)(2), remove the word ``Branch''
and add, in its place, the word ``District'' and in paragraph (a)(2)
revise the list of offices to read as follows:
Sec. 200.303 Times, places and requirements for requests pertaining to
individual records in a record system and for the identification of
individuals making requests for access to the records pertaining to
them.
(a) * * *
(2) * * *
Northeast Regional Office. 7 World Trade Center, suite 1300, New
York, NY 10048. Office hours--9 a.m. to 5:30 p.m. E.S.T.
Boston District Office--73 Tremont Street, Sixth Floor, suite 600,
Boston, MA 02108. Office hours--9 a.m. to 5:30 p.m. E.S.T.
Philadelphia District Office--The Curtis Center, suite 1005 E., 601
Walnut Street, Philadelphia, PA 19106. Office hours--9 a.m. to 5:30
p.m. E.S.T.
Southeast Regional Office. 1401 Brickell Avenue, suite 200, Miami,
FL 33131. Office hours--8:30 a.m. to 5 p.m. E.S.T.
Atlanta District Office--Lenox Road, NE., suite 1000, Atlanta, GA
30326. Office hours--9 a.m. to 5:30 p.m. E.S.T.
Midwest Regional Office. Northwestern Atrium Center, 500 West
Madison Street, suite 1400, Chicago, IL 60611. Office hours--8:45
a.m. to 5:15 p.m. C.S.T.
Central Regional Office. 1801 California Street, suite 4800, Denver,
CO 80202. Office hours--8 a.m. to 4:30 p.m. C.S.T.
Fort Worth District Office--801 Cherry Street, 19th Floor, Fort
Worth, TX 76102. Office hours--8:30 a.m. to 5 p.m. C.S.T.
Salt Lake District Office--500 Key Bank Tower, 50 S. Main Street,
suite 500, Box 79, Salt Lake City, UT 84144. Office hours--8 a.m. to
4:30 p.m. M.S.T.
Pacific Regional Office. 5670 Wilshire Boulevard, 11th Floor, Los
Angeles, CA 90036. Office hours 8:30 a.m. to 5 p.m. P.S.T.
San Francisco District Office--44 Montgomery Street, San Francisco,
CA 94104. Office hours--8:30 a.m. to 5 p.m. P.S.T.
* * * * *
Sec. 200.309 [Amended]
24. In Sec. 200.309(a)(1), remove the word ``Branch'' each time it
appears, and in its place, add the word ``District.''
PART 202--INFORMAL AND OTHER PROCEDURES
25. The authority citation for part 202 continues to read in part
as follows:
Authority: 15 U.S.C. 77s, 77t, 78d-1, 78u, 78w, 78ll(d), 79r,
79t, 77sss, 77uuu, 80a-37, 80a-41, 80b-9, and 80b-11, unless
otherwise noted.
* * * * *
Sec. 202.2 [Amended]
26. In Sec. 202.2 add the words ``or district'' between the words
``regional'' and ``offices''.
Sec. 202.3 [Amended]
27. In Sec. 202.3(a), remove the words ``Form S-18 (17 CFR
239.28)'' and add, in their place, the words ``Forms SB-1 and SB-2 (17
CFR 239.9 and 239.10)''.
Sec. 202.5 [Amended]
28. In Sec. 202.5(c) remove the words ``or Regional Administrator''
and add, in their place, the words ``, Regional Director, or District
Administrator''.
Sec. 202.7 [Amended]
29. In Sec. 202.7(a), add the words ``or district'' between the
words ``regional'' and ``office.''
PART 203--RULES RELATING TO INVESTIGATIONS
30. The authority citation for part 203 continues to read as
follows:
Authority: 15 U.S.C. 77s, 78w, 79t, 77sss, 80a-37, 80b-11,
unless otherwise noted.
Secs. 203.2 and 203.7 [Amended]
31. In Secs. 203.2 and 203.7(a), add the words ``Director or
District'' between the word ``Regional'' and the word
``Administrator''.
32. In Sec. 203.7(a), add the words ``or District'' between the
word ``Regional'' and the word ``Offices''.
PART 230--GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
33. The authority citation for part 230 continues to read in part
as follows:
Authority: 15 U.S.C. 77b, 77f, 77g, 77h, 77j, 77s, 77sss, 78c,
78l, 78m, 78n, 78o, 78w, 78ll(d), 79t, 80a-8, 80a-29, 80a-30, and
80a-37, unless otherwise noted.
* * * * *
Sec. 230.445 [Amended]
34. In Sec. 230.445(b), remove the word ``branch'' and add in its
place add the word ``district''.
PART 239--FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933
35. The authority citation for part 239 continues to read in part
as follows:
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 77sss, 78c, 78l,
78m, 78n, 78o(d), 78w(a), 78ll(d), 79e, 79f, 79g, 79j, 79l, 79m,
79n, 79q, 79t, 80a-8, 80a-29, 80a-30 and 80a-37, unless otherwise
noted.
* * * * *
Sec. 239.0-1 [Amended]
36. In Sec. 239.0-1(b), add the words ``and district'' between the
words ``regional'' and ``offices'' each time they appear.
PART 240--GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF
1934
Subpart A--Rules and Regulations Under the Securities Exchange Act
of 1934
37. The authority citation for part 240, continues to read in part
as follows:
Authority: 15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77eee, 77ggg,
77nnn, 77sss, 77ttt, 78c, 78d, 78i, 78j, 78l, 78m, 78n, 78o, 78p,
78s, 78w, 78x, 78ll(d), 79q, 79t, 80a-20, 80a-23, 80a-29, 80a-37,
80b-3, 80b-4 and 80b-11, unless otherwise noted.
* * * * *
Secs. 240.15c3-1, 240.17a-3, 240.17-5 [Amended]
38. In part 240, add the words ``or district'' after the words
``regional'' and ``region'' each time they appear in the following
places:
(a) The introductory text of Sec. 240.15c3-1(a)(6)(iv), and
Sec. 240.15c3-1 (a)(6)(v), (a)(7)(iv), (c)(2)(x)(B)(1)(ii),
(c)(2)(x)(F)(3), and (e)(1)(iv);
(b) Section 240.17a-3(b)(2);
(c) Section 240.17a-5(a)(3), (b)(1), the introductory text of
Sec. 240.17a-5(c)(1), Sec. 240.17a-5(c)(2)(iii), (c)(2)(iv), (d)(1)(i),
(d)(6), (e)(4), (f)(2)(i), the introductory text of Sec. 240.17a-
5(f)(4), and Sec. 240.17a-5(m)(1); and
(d) Section 240.17a-11(g).
Secs. 240.15c3-1, 240.17a-7 [Amended]
39. In Secs. 240.15c3-1(c)(12), 240.17a-7 (b)(1) and (b)(2), add
the words ``or District'' after the word ``Regional'' each time it
appears.
40. In part 240, add the words ``or district'' after the word
``region'' and the words ``or District'' after the word ``Regional''
each time they appear in the following places:
(a) Section 240.15c3-1d (c)(6)(i) and (c)(6)(ii);
(b) Section 240.17Ad-2(h)(1).
PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934
41. The authority citation for part 249 continues to read in part
as follows:
Authority: 15 U.S.C. 78a, et seq., unless otherwise noted;
* * * * *
Sec. 249.0-1 [Amended]
42. In Sec. 249.0-1(b), add the words ``and district'' between the
words ``regional'' and ``offices'' each time they appear.
PART 249b--FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934
43. The authority citation for part 249b continues to read in part
as follows:
Authority: 15 U.S.C. 78a et seq., unless otherwise noted;
* * * * *
Sec. 249b.100, 249b.102, and 249b.200 [Amended]
44. In Sec. 249b.100, 249b.102, and 249b.200, add the words ``and
district'' between the words ``regional'' and ``offices'' in the
appended footnote each time they appear.
PART 259--GENERAL RULES AND REGULATIONS, PUBLIC UTILITY HOLDING
COMPANY ACT OF 1935
45. The authority citation for part 259 continues to read as
follows:
Authority: 15 U.S.C. 79e, 79f, 79g, 79j, 79l, 79m, 79n, 79q,
79t.
Sec. 259.0-1(b) [Amended]
46. In Sec. 259.0-1(b), add the words ``and district'' between the
words ``regional'' and ``offices'' each time they appear.
PART 269--FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939
47. The authority citation for part 269 continues to read as
follows:
Authority: 15 U.S.C. 77ddd(c), 77eee, 77ggg, 77hhh, 77iii,
77jjj, 77sss, 78ll(d), unless otherwise noted.
Sec. 269.0-1 [Amended]
48. In Sec. 269.0-1(b), add the words ``and district'' between the
words ``regional'' and ``offices'' each time they appear.
PART 274--FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
49. The authority citation for part 274 continues to read as
follows:
Authority: 15 U.S.C. 80a-1, et seq., unless otherwise noted.
Sec. 274.0-1 [Amended]
50. In Sec. 274.0-1(b), add the words ``and district'' between the
words ``regional'' and ``offices'' each time they appear.
PART 275--RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
51. The authority citation for part 275 continues to read in part
as follows:
Authority: Sec. 203, 54 Stat. 850, as amended, 15 U.S.C. 80b-3;
sec. 204, 54 Stat. 852, as amended, 15 U.S.C. 80b-4; sec. 206A, 84
Stat. 1433, as added, 15 U.S.C. 80b-6A; sec. 211, 54 Stat. 855, as
amended, 15 U.S.C. 80b-11, unless otherwise noted;
* * * * *
Sec. 275.204-2 [Amended]
52. In Sec. 275.204-2(j)(3)(i) and (j)(3)(ii), add the words ``or
District'' between the words ``Regional'' and ``Office'' each time they
appear.
PART 279--FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF
1940
53. The authority citation for part 279 continues to read as
follows:
Authority: The Investment Advisers Act of 1940, 15 U.S.C. 80b-1,
et seq.
* * * * *
Sec. 279.0-1 [Amended]
54. In Sec. 279.0-1(b), add the words ``and district'' between the
words ``regional'' and ``offices'' each time they appear.
Dated: February 2, 1994.
By the Commission.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 94-2826 Filed 2-8-94; 8:45 am]
BILLING CODE 8010-01-P
