Regional Office Reorganization, 32222-32229 [E8-12244]
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Federal Register / Vol. 73, No. 109 / Thursday, June 5, 2008 / Rules and Regulations
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Parts 200, 201, 202, 203, 209,
230, 232, 240, 249, 249b, 260, 270, 274,
275, and 279
[Release No. 34–57877]
Regional Office Reorganization
Securities and Exchange
Commission.
ACTION: Final rule amendments.
AGENCY:
SUMMARY: The Securities and Exchange
Commission is amending its rules to
reflect the reorganization of its former
five regional and six district offices into
eleven regional offices reporting directly
to SEC Headquarters. The Commission
also is correcting addresses appearing in
its rules.
DATES: Effective Date: June 5, 2008.
FOR FURTHER INFORMATION CONTACT:
Stephen Jung, (202) 551–5162, Assistant
General Counsel, Office of the General
Counsel; Michael Bloise, (202) 551–
5116, Senior Counsel, Office of the
General Counsel, Securities and
Exchange Commission, 100 F Street,
NE., Washington, DC 20549.
SUPPLEMENTARY INFORMATION: The
Commission is amending 17 CFR parts
200, 201, 202, 203, 209, 230, 232, 240,
249, 249b, 260, 270, 274, 275, and 279.
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I. Discussion
On March 30, 2007, the Chairman of
the Securities and Exchange
Commission announced a new structure
for the Commission’s regional and
district offices and changes to the
designation of the offices and their chief
supervisory personnel.1 These changes,
which became effective on April 1,
2007, were intended to facilitate the
regional offices’ cooperation with state
and federal regulators, law enforcement
agencies and consumer groups at the
local level to better protect investors no
matter where they live or with whom
they invest.
As a result of the reorganization, the
former structure, in which there were
six district offices reporting to five
regional offices that, in turn, reported to
Commission headquarters, was replaced
by a new structure in which there are
eleven regional offices, each reporting
directly to Commission headquarters.
Each regional office is now designated
by the name of the city in which it is
located, as follows: Atlanta Regional
Office, Boston Regional Office, Chicago
Regional Office, Denver Regional Office,
Fort Worth Regional Office, Los Angeles
1 Press
Rel. No. 2007–59 (March 30, 2007).
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Regional Office, Miami Regional Office,
New York Regional Office, Philadelphia
Regional Office, Salt Lake City Regional
Office, and San Francisco Regional
Office.
Pursuant to the reorganization, the
title ‘‘District Administrator’’ was
discontinued, and the heads of all of the
regional offices are now called
‘‘Regional Directors.’’ The term
‘‘Regional Director’’ also replaced the
term ‘‘District Administrator’’ in the
titles of subordinate managers in the
regional offices. The regional offices
report, on enforcement matters, to the
Deputy Director of the Division of
Enforcement who is responsible for
regional office enforcement matters and,
on examination matters, to the Director
of the Office of Compliance Inspections
and Examinations. The Director of
Regional Office Operations continues to
oversee regional office operational and
management issues.
To reflect this reorganization, the
Commission is amending certain of its
rules to delete the term ‘‘district office’’
or replace it with the term ‘‘regional
office,’’ as appropriate. Likewise, the
Commission is amending certain of its
rules to delete the term ‘‘District
Administrator’’ or replace it with the
term ‘‘Regional Director,’’ as
appropriate. The Commission also is
removing rules that describe the duties
of District Administrators and delegate
functions to these persons. In addition,
because a number of Commission offices
have relocated since the adoption of the
current rules, the Commission is
amending its rules to update the
addresses that appear in its rules for all
of its offices.
The rule amendments also update the
geographic allocation of examination
and enforcement jurisdiction to each
Regional Director. This geographic
allocation also determines where
brokers, dealers, transfer agents, clearing
agents, registered securities
associations, investment advisers, and
others must file reports that are required
to be filed in regional offices. These
registrants should note changes in the
geographic allocation resulting from the
reorganization.
II. Administrative Procedure Act and
Other Administrative Laws
The Commission has determined that
these amendments 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
opportunity for public participation are
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not applicable.2 For the same reason,
and because these amendments do not
substantially affect the rights or
obligations of non-agency parties, the
provisions of the Small Business
Regulatory Enforcement Fairness Act
are not applicable.3 In addition, the
provisions of the Regulatory Flexibility
Act, which apply only when notice and
comment are required by the APA or
other law, are not applicable.4 Finally,
these amendments do not contain any
collection of information requirements
as defined by the Paperwork Reduction
Act of 1995, as amended.5
III. Cost-Benefit Analysis
The Commission is sensitive to the
costs and benefits imposed by its rules.
The rule amendments the Commission
is adopting today update the
Commission’s rules to reflect the
reorganization of the Commission’s
regional offices. The amendments also
update addresses for the Commission’s
offices that appear in the Commission’s
rules.
The Commission believes that the
reorganization of the Commission’s
regional offices will produce the benefit
of facilitating the offices’ cooperation
with state and federal regulators, law
enforcement agencies and consumer
groups at the local level to better protect
investors no matter where they live or
with whom they invest. The
reorganization also should help
eliminate the potential for redundancy
and overlap in the Commission’s
inspection and enforcement procedures.
Updating addresses in the Commission’s
rules will help registrants, investors,
and others avoid misdirecting their
communications with the Commission.
The Commission does not believe that
the rule amendments will impose any
costs on non-agency parties, or that if
there are any such costs, they are
negligible.
IV. Consideration of Burden on
Competition
Section 23(a)(2) of the Securities
Exchange Act of 1934 (‘‘Exchange Act’’)
requires the Commission, in making
rules pursuant to any provision of the
Exchange Act, to consider among other
matters the impact any such rule would
have on competition. The Commission
does not believe that the amendments
that the Commission is adopting today
will have any impact on competition.
25
U.S.C. 553(b).
U.S.C. 804.
4 5 U.S.C. 601–12.
5 44 U.S.C. 3501–20.
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V. Statutory Basis
The Commission is adopting
amendments to 17 CFR parts 200, 201,
202, 203, 209, 229, 230, 232, 239, 240,
249, 249b, 260, 269, 270, 274, 275, and
279 pursuant to 15 U.S.C. 77s, 78d–1,
78w, 80a–37, 80b–11, 7202, and the
authorities set forth therein.
VI. Text of Final Amendments
17 CFR Part 200
Administrative practice and
procedure, Authority delegations
(Government agencies), Classified
information, Environmental impact
statements, Equal employment
opportunity, Freedom of information,
Government employees, Organization
and functions (Government agencies),
Privacy, Reporting and recordkeeping
requirements.
§ 200.11 Headquarters Office—Regional
Office relationships.
Administrative practice and
procedure, Investigations, Securities.
17 CFR Part 209
Administrative practice and
procedure.
17 CFR Parts 230 and 232
Reporting and recordkeeping
requirements, Securities.
17 CFR Part 240
Brokers, Reporting and recordkeeping
requirements, Securities.
17 CFR Parts 249, 249b, and 260
Reporting and recordkeeping
requirements.
17 CFR Part 270
Investment companies, Reporting and
recordkeeping requirements, Securities.
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2. Section 200.11 is revised to read as
follows:
17 CFR Part 203
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Administrative practice and
procedure, Securities.
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17 CFR Part 202
In accordance with the foregoing, 17
CFR, Chapter II of the Code of Federal
Regulations is amended as follows:
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Section 200.30–3 is also issued under 15
U.S.C. 78b, 78d, 78f, 78k–1, 78q, 78s, and
78eee.
Administrative practice and
procedure.
I
1. The authority citation for part 200,
subpart A, is amended by revising the
following sub-authorities to read as
follows:
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17 CFR Parts 201
Reporting and recordkeeping
requirements.
Subpart A—Organization and Program
Management
Authority: 15 U.S.C. 77o, 77s, 77sss, 78d,
78d–1, 78d–2, 78w, 78ll(d), 78mm, 80a–37,
80b–11, and 7202, unless otherwise noted.
Sections 200.27 and 200.30–6 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.
List of Subjects
17 CFR Parts 274, 275, and 279
PART 200—ORGANIZATION;
CONDUCT AND ETHICS; AND
INFORMATION AND REQUESTS
(a)(1) Division and Office Heads in the
Headquarters Office (100 F Street, NE.,
Washington, DC 20549) have
Commission-wide responsibility to the
Commission for the overall
development, policy and technical
guidance, and policy direction of the
operating programs under their
jurisdiction.
(2) Each Regional Director is
responsible for the direction and
supervision of his or her work force and
for the execution of all programs in his
or her office’s region as shown in
paragraph (b) of this section, in
accordance with established policy, and
reports, on enforcement matters, to the
Deputy Director of the Division of
Enforcement who is responsible for
Regional Office enforcement matters
and, on examination matters, to the
Director of the Office of Compliance
Inspections and Examinations. The
Director of Regional Office Operations
interacts with the Regional Directors
and their staff on operational and
administrative/management issues and
serves as their representative in the
Commission’s Washington Headquarters
in those areas.
(b) Regional Directors of the
Commission.
Atlanta Regional Office: Alabama,
Georgia, North Carolina, South Carolina,
and Tennessee—Regional Director, 3475
Lenox Road, NE., Suite 1000, Atlanta,
GA 30326–1232.
Boston Regional Office: Connecticut,
Maine, Massachusetts, New Hampshire,
Rhode Island, and Vermont—Regional
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Director, 33 Arch Street, 23rd Floor,
Boston, MA 02110–1424.
Chicago Regional Office: Kentucky,
Illinois, Indiana, Iowa, Michigan,
Minnesota, Missouri, Ohio, and
Wisconsin—Regional Director, 175 West
Jackson Boulevard, Suite 900, Chicago,
IL 60604–2908.
Denver Regional Office: Colorado,
Kansas, Nebraska, New Mexico, North
Dakota, South Dakota, and Wyoming—
Regional Director, 1801 California
Street, Suite 1500, Denver, CO 80202–
2656.
Fort Worth Regional Office: Arkansas,
Kansas (for certain purposes),
Oklahoma, and Texas—Regional
Director, Burnett Plaza, Suite 1900, 801
Cherry Street, Unit #18, Fort Worth, TX
76102–6882.
Los Angeles Regional Office: Arizona,
Southern California (zip codes 93599
and below, except 93200–93299), Guam,
Hawaii, and Nevada—Regional Director,
5670 Wilshire Boulevard, 11th Floor,
Los Angeles, CA 90036–3648.
Miami Regional Office: Florida,
Louisiana, Mississippi, Puerto Rico, and
the Virgin Islands—Regional Director,
801 Brickell Avenue, Suite 1800, Miami,
FL 33131–4901.
New York Regional Office: New York
and New Jersey—Regional Director, 3
World Financial Center, Suite 400, New
York, NY 10281–1022.
Philadelphia Regional Office:
Delaware, District of Columbia,
Maryland, Pennsylvania, Virginia, and
West Virginia—Regional Director, 701
Market Street, Suite 2000, Philadelphia,
PA 19106–1532.
Salt Lake City Regional Office: Utah—
Regional Director, 15 W. South Temple
Street, Suite 1800, Salt Lake City, UT
84101–1573.
San Francisco Regional Office:
Alaska, Northern California (zip codes
93600 and up, plus 93200–93299),
Idaho, Montana, Oregon, and
Washington—Regional Director, 44
Montgomery Street, Suite 2600, San
Francisco, CA 94104–4716.
(c) The geographic allocation set forth
in paragraph (b) of this section
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
offices.
§ 200.12
[Amended]
3. Section 200.12 is amended by
removing from the first sentence the
phrase ‘‘and District Administrators’’
and the authority citation following the
section.
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§ 200.21a
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[Amended]
4. Section 200.21a, paragraph (b)(2), is
amended by removing the phrase
‘‘District Administrators,’’.
I 5. Section 200.27 is revised to read as
follows:
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§ 200.27
The Regional Directors.
Each Regional Director is responsible
for executing the Commission’s
programs within his or her geographic
region as set forth in § 200.11(b), subject
to review, on enforcement matters, by
the Deputy Director of the Division of
Enforcement who is responsible for
Regional Office enforcement matters
and, on examination matters, by the
Director of the Office of Compliance
Inspections and Examinations, and
subject to policy direction and review
by the other Division Directors, the
General Counsel, and the Chief
Accountant. The Regional Directors’
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
§ 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 area. In addition, the
Regional Director of the New York
Regional Office is responsible for the
Commission’s participation in cases
under chapters 9 and 11 of the
Bankruptcy Code in Connecticut,
Maine, Massachusetts, New Hampshire,
New Jersey, New York, Pennsylvania,
Rhode Island, and Vermont; the
Regional Director of the Atlanta
Regional Office is responsible for such
participation in Alabama, Delaware,
District of Columbia, Florida, Georgia,
Louisiana, Maryland, Mississippi, North
Carolina, Puerto Rico, South Carolina,
Tennessee, Virgin Islands, Virginia, and
West Virginia; the Regional Director of
the Chicago Regional Office is
responsible for such participation in
Arkansas, Colorado, Illinois, Indiana,
Iowa, Kansas, Kentucky, Michigan,
Minnesota, Missouri, Nebraska, New
Mexico, North Dakota, Ohio, Oklahoma,
South Dakota, Texas, Wisconsin, and
Wyoming; and the Regional Director of
the Los Angeles Regional Office is
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responsible for such participation in
Alaska, Arizona, California, Guam,
Hawaii, Idaho, Montana, Nevada,
Oregon, Utah, and Washington.
§ 200.27a
I
[Removed]
6. Section 200.27a is removed.
§ 200.28
[Amended]
7. Section 200.28, paragraph (a), is
amended by removing the phrase
‘‘Regional Administrators’’ and adding
in its place ‘‘Regional Directors’’.
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§ 200.30–6a
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[Removed]
8. Section 200.30–6a is removed.
§ 200.30–11
[Amended]
9. Section 200.30–11, paragraph (c)(2),
is amended by removing the phrase ‘‘or
district’’ and by removing the authority
citation following the section.
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Subpart D—Information and Requests
10. The general authority citation for
part 200, subpart D, is revised to read
as follows:
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Authority: 5 U.S.C. 552, as amended, 15
U.S.C. 77f(d), 77s, 77ggg(a), 77sss, 78m(F)(3),
78w, 80a–37, 80a–44(a), 80a–44(b), 80b–
10(a), and 80b–11.
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11. Section 200.80 is amended by:
a. In paragraph (a)(2), the introductory
text, revising the phrase ‘‘during normal
business hours at the public reference
room located at 450 Fifth Street, NW.,
Room 1024, Washington, DC and at the
Northeast and Midwest Regional Offices
of the Commission,’’ to read ‘‘from 10
a.m. to 3 p.m., E.T., at the public
reference room located at 100 F Street,
NE., Washington, DC,’’;
I b. Revising paragraph (c)(1);
I c. In paragraph (c)(2), in the first
sentence, removing the phrase ‘‘or at its
other public reference facilities’’; in the
second sentence, removing the phrase
‘‘and District’’; and in the third
sentence, removing the phrase ‘‘450
Fifth Street, NW., Washington, DC
20549’’ and adding in its place ‘‘100 F
Street, NE., Washington, DC 20549’’;
I d. In paragraph (d)(1):
I i. In the first sentence, revising the
phrase ‘‘reference facilities may be made
in person during normal business hours
at those facilities’’ to read ‘‘reference
facility may be made in person from 10
a.m. to 3 p.m., E.T., at this facility’’;
I ii. In the second sentence, revising the
phrase ‘‘reference facilities’’ to read
‘‘reference facility’’; and
I iii. In the last sentence, revising the
phrase ‘‘Operations Center, 6432
General Green Way, Alexandria, VA
22312–2413. The request may also be
made by facsimile (703–914–1149) or by
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Internet’’ to read ‘‘100 F Street, NE.,
Washington, DC 20549. The request may
also be made by facsimile (202–772–
9337) or by Internet’’;
I e. In paragraphs (d)(2) and (d)(4), first
sentence, revising the phrase ‘‘reference
facilities’’ to read ‘‘reference facility’’;
I f. In paragraph (d)(2), first sentence,
removing the word ‘‘appropriate’’;
I g. Revising paragraph (d)(6)(ii);
I h. In paragraph (d)(7)(i) in the third
and fourth sentences, removing the
phrase ‘‘or district’’;
I i. In the introductory text of paragraph
(e), second sentence, removing the
phrase ‘‘or district’’;
I j. In paragraph (e)(2), first and third
sentences, revising the phrase
‘‘reference facilities’’ to read ‘‘reference
facility’’ and in the second sentence
revising the phrase ‘‘450 Fifth Street,
NW., Room 1024, Washington, DC’’ to
read ‘‘100 F Street, NE., Washington,
DC’’;
I k. In paragraph (e)(7)(i), first sentence,
by removing the phrase ‘‘Washington,
DC, Northeast, or Midwest public
reference rooms’’, and adding in its
place ‘‘Washington, DC public reference
room’’;
I l. In paragraph (e)(7)(i), first sentence,
removing the phrase ‘‘450 Fifth Street,
NW., room 1024, Washington, DC
20549’’ and adding in its place the
phrase ‘‘100 F Street, NE., Washington,
DC 20549’’; and
I m. In paragraph (e)(7)(ii), last
sentence, removing ‘‘450 Fifth Street,
NW., Room 1024, Washington, DC’’ to
read ‘‘100 F Street, NE., Washington,
DC’’;
I n. In paragraph (e)(7)(iii), second
sentence, removing the phrase ‘‘450
Fifth Street, NW., Room 1024,
Washington, DC.’’ and adding in its
place the phrase ‘‘100 F Street, NE.,
Washington, DC’’, and removing the
phrase ‘‘and district’’.
The revisions read as follow:
§ 200.80 Commission records and
information.
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(c)(1) Public reference facility. In
order to disseminate records, including
those listed in appendix A to this
section, the Commission has a specially
staffed and equipped public reference
room located at 100 F Street, NE.,
Washington, DC. Copying machines,
which are available to requestors on a
self-service or contractor-operated basis,
can be used to make immediate copies
up to 81⁄2 by 11 inches in size of
materials that are available for
inspection in the Washington, DC
Headquarters. Fees and levels of service
are set out in the Commission’s
schedule of fees in appendix E to this
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section and in information available
from the public reference room. The
Commission accepts only written
requests for copies of documents.
(i) The public reference room in
Washington, DC has available for public
inspection all of the publicly available
records of the Commission as described
in paragraph (a) of this section. Upon
request, and only when suitable
arrangements can be made with respect
to the transportation, storage, and
inspection of records, records may be
sent to any other Commission office for
inspection at that office, if the records
are not needed by the Commission or
the staff in connection with the
performance of official duties. When the
records are sent to another office at the
request of a member of the public, the
requestor shall be charged all costs
incurred by the Commission in
transporting the records.
(ii) All regional offices of the
Commission have available for public
examination the materials set forth in
paragraph (a)(2) of this section and the
SEC Docket, SEC News Digest, and other
SEC publications. Blank forms as well
as other general information about the
operations of the Commission described
in paragraph (a)(1) of this section may
also be available at particular regional
offices.
(iii) The addresses of the
Commission’s regional offices are:
Atlanta Regional Office—3475 Lenox
Road, NE., Suite 1000, Atlanta, GA
30326–1232. Office hours—9 a.m. to
5:30 p.m. E.T.
Boston Regional Office—33 Arch
Street, 23rd Floor, Boston, MA 02110–
1424. Office hours—9 a.m. to 5:30 p.m.
E.T.
Chicago Regional Office—175 West
Jackson Boulevard, Suite 900, Chicago,
IL 60604–2908. Office hours—8:45 a.m.
to 5:15 p.m. C.T.
Denver Regional Office—1801
California Street, Suite 1500, Denver,
CO 80202–2656. Office hours—8 a.m. to
4:30 p.m. M.T.
Fort Worth Regional Office—Burnett
Plaza, Suite 1900, 801 Cherry Street,
Unit #18, Fort Worth, TX 76102–6882.
Office hours—8:30 a.m. to 5 p.m. C.T.
Los Angeles Regional Office—5670
Wilshire Boulevard, 11th Floor, Los
Angeles, CA 90036–3648. Office
hours—8:30 a.m. to 5 p.m. P.T.
Miami Regional Office—801 Brickell
Avenue, Suite 1800, Miami, FL 33131–
4901. Office hours—9 a.m. to 5:30 p.m.
E.T.
New York Regional Office—3 World
Financial Center, Suite 400, New York,
NY 10281–1022. Office hours—9 a.m. to
5:30 p.m. E.T.
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Philadelphia Regional Office—701
Market Street, Suite 2000, Philadelphia,
PA 19106–1532. Office hours—9 a.m. to
5:30 p.m. E.T.
Salt Lake City Regional Office—15 W.
South Temple Street, Suite 1800, Salt
Lake City, UT 84101–1573. Office
hours—8 a.m. to 4:30 p.m. M.T.
San Francisco Regional Office—44
Montgomery Street, Suite 2600, San
Francisco, CA 94104–4716. Office
hours—8:30 a.m. to 5 p.m. P.T.
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(d) * * *
(6) * * *
(ii) The appeal must be mailed to the
Office of Freedom of Information and
Privacy Act Operations, SEC, 100 F
Street, NE., Washington, DC 20549, and
a copy of it must be mailed to the
General Counsel, Securities and
Exchange Commission, 100 F Street,
NE., Washington, DC 20549.
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§ 200.80e
[Amended]
12. The last paragraph of § 200.80e is
amended by revising the phrase ‘‘public
reference rooms’’ to read ‘‘public
reference room’’ in the first sentence,
and in the third sentence of the same
paragraph removing the phrase ‘‘450
Fifth Street, NW., room 1024,
Washington, DC 20549 or calling 202–
272–3100’’ and adding in its place ‘‘100
F Street, NE., Washington, DC 20549 or
calling 202–551–8090’’.
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§ 200.83
[Amended]
13–14. Section 200.83 is amended by
a. Removing the phrase ‘‘Operations
Center, 6432 General Green Way,
Alexandria, VA 22312–2413’’, and
adding in its place the phrase ‘‘100 F
Street, NE., Washington, DC 20549’’, in
the first sentence of paragraph (c)(3) and
the second sentence of paragraph (c)(7);
and
I b. In paragraph (e)(2) by removing the
phrase ‘‘Operations Center, 6432
General Green Way, Alexandria, VA
22312–2413, or by facsimile (703–914–
1149)’’ and adding in its place the
phrase ‘‘100 F Street, NE., Washington,
DC 20549, or by facsimile (202–772–
9337)’’, in the second sentence, and by
removing the phrase ‘‘450 Fifth Street,
NW., Washington, DC 20549’’ and
adding in its place the phrase ‘‘100 F
Street, NE., Washington, DC 20549’’ in
the third sentence.
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Subpart G—Plan of Organization and
Operation Effective During Emergency
Conditions
15. The authority citation for part 200,
subpart G, continues to read as follows:
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Authority: 15 U.S.C. 77s, 78d, 78d–1, 78w,
77sss, 80a–37, 80b–11; Reorganization Plan
No. 10 of 1950 (15 U.S.C. 78d nt).
§ 200.202
[Amended]
16. Section 200.202(a), second
sentence, is amended by removing the
phrase ‘‘and District’’ and by removing
the phrase ‘‘or District Administrator’’.
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§ 200.203
[Amended]
17. In § 200.203 paragraph (c)(1)(v) is
removed.
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§ 200.204
[Amended]
18. Section 200.204 is amended by
removing the phrase ‘‘and District
Administrators’’.
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Subpart H—Regulations Pertaining to
the Privacy of Individuals and Systems
of Records Maintained by the
Commission
19. The authority citation for part 200,
subpart H, continues to read in part as
follows:
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Authority: 5 U.S.C. 552a(f), unless
otherwise noted.
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20. Section 200.303 is amended by:
a. Revising the phrase ‘‘Privacy Act
Officer, SEC, Operations Center, 6432
General Green Way, Alexandria, VA
22312–2413, or by facsimile (703–914–
1149)’’ in the introductory text of
paragraph (a), first sentence, to read
‘‘Office of Freedom of Information and
Privacy Act Operations, SEC, 100 F
Street, NE., Washington, DC 20549, or
by facsimile (202–772–9337)’’;
I b. Revising paragraph (a)(2); and
I c. Revising the phrase ‘‘Office of
Freedom of Information and Privacy Act
Operations, SEC, Operations Center,
6432 General Green Way, Alexandria,
VA 22312–2413, or at one of its
Regional or District’’ to read ‘‘Office of
Freedom of Information and Privacy Act
Operations, SEC, 100 F Street, NE.,
Washington, DC 20549, or at one of its
Regional’’ in the first sentence of
paragraph (b)(2).
The revision reads as follows:
I
I
§ 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) Verification of identity. When the
fact of the existence of a record is not
required to be disclosed under the
Freedom of Information Act, 5 U.S.C.
552, as amended, or when a record as
to which access has been requested is
not required to be disclosed under that
Act, the individual seeking the
information or requesting access to the
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record shall be required to verify his or
her identity before access will be
granted or information given. For this
purpose, individuals shall appear at the
Office of Freedom of Information and
Privacy Act Operations, SEC, 100 F
Street, NE., Washington, DC 20549,
during normal business hours of 9 a.m.
to 5:30 p.m. E.S.T., Monday through
Friday, or at one of the Commission’s
Regional Offices. The addresses and
business hours of those offices are listed
below:
Atlanta Regional Office—3475 Lenox
Road, NE., Suite 1000, Atlanta, GA
30326–1232. Office hours—9 a.m. to
5:30 p.m. E.T.
Boston Regional Office—33 Arch
Street, 23rd Floor, Boston, MA 02110–
1424. Office hours—9 a.m. to 5:30 p.m.
E.T.
Chicago Regional Office—175 West
Jackson Boulevard, Suite 900, Chicago,
IL 60604–2908. Office hours—8:45 a.m.
to 5:15 p.m. C.T.
Denver Regional Office—1801
California Street, Suite 1500, Denver,
CO 80202–2656. Office hours—8 a.m. to
4:30 p.m. M.T.
Fort Worth Regional Office—Burnett
Plaza, Suite 1900, 801 Cherry Street,
Unit #18, Fort Worth, TX 76102–6882.
Office hours—8:30 a.m. to 5 p.m. C.T.
Los Angeles Regional Office—5670
Wilshire Boulevard, 11th Floor, Los
Angeles, CA 90036–3648. Office
hours—8:30 a.m. to 5 p.m. P.T.
Miami Regional Office—801 Brickell
Avenue, Suite 1800, Miami, FL 33131–
4901. Office hours—9 a.m. to 5:30 p.m.
E.T.
New York Regional Office—3 World
Financial Center, Suite 400, New York,
NY 10281–1022. Office hours—9 a.m. to
5:30 p.m. E.T.
Philadelphia Regional Office—701
Market Street, Suite 2000, Philadelphia,
PA 19106–1532. Office hours—9 a.m. to
5:30 p.m. E.T.
Salt Lake City Regional Office—15 W.
South Temple Street, Suite 1800, Salt
Lake City, UT 84101–1573. Office
hours—8 a.m. to 4:30 p.m. M.T.
San Francisco Regional Office—44
Montgomery Street, Suite 2600, San
Francisco, CA 94104–4716. Office
hours—8:30 a.m. to 5 p.m. P.T.
None of the Commission’s offices is
open on Saturday, Sunday or the
following legal holidays: New Year’s
Day, Martin Luther King, Jr.’s Birthday,
Presidents’ Day, Memorial Day,
Independence Day, Labor Day, Veterans’
Day, Columbus Day, Thanksgiving Day,
and Christmas Day.
*
*
*
*
*
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§ 200.309
[Amended]
21. Section 200.309 is amended by
removing the phrase ‘‘or District’’ in the
third and fourth sentences of paragraph
(a)(1), and removing the authority
citation at the end of the section.
I
Subpart J—Classification and
Declassification of National Security
Information and Material
22. The authority citation for part 200,
subpart J, continues to read as follows:
I
Authority: Sec. 19, Securities Act of 1933,
as amended, 48 Stat. 84, 15 U.S.C. 77s. E.O.
12356, (47 FR 14874, Apr. 6, 1982).
Information Security Oversight Office
Directive No. 1 (47 FR 27836, June 25, 1982).
§ 200.503
[Amended]
23. Section 200.503, introductory text
of the section, second sentence, is
amended by removing the phrase ‘‘450
5th Street, NW., Washington, DC 20549’’
and adding in its place the phrase ‘‘100
F Street, NE., Washington, DC 20549’’.
I
§ 200.508
[Amended]
24. Section 200.508, paragraph (a),
second sentence, is amended by
removing the phrase ‘‘450 5th Street,
NW., Washington, DC 20549’’ and
adding in its place the phrase ‘‘100 F
Street, NE., Washington, DC 20549’’.
I
Subpart K—Regulations Pertaining to
the Protection of the Environment
25. The authority citation for part 200,
subpart K, continues to read as follows:
I
Authority: 15 U.S.C. 78w(a)(2).
§ 200.554
[Amended]
26. Section 200.554, paragraph (b), is
amended by removing the phrase ‘‘450
Fifth Street, NW., Room 1024,
Washington, DC’’ and adding in its
place the phrase ‘‘100 F Street, NE.,
Washington, DC 20549’’.
I
Subpart L—Enforcement of
Nondiscrimination on the Basis of
Handicap in Programs or Activities
Conducted by the Securities and
Exchange Commission
27. The authority citation for part 200,
subpart L, continues to read as follows:
I
Authority: 29 U.S.C. 794.
§ 200.670
[Amended]
28. Section 200.670, paragraph (c), is
amended by removing the phrase ‘‘450
Fifth Street NW., Washington, DC
20549’’ and adding in its place the
phrase ‘‘100 F Street, NE., Washington,
DC 20549’’.
I
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Subpart M—Regulation Concerning
Conduct of Members and Employees
and Former Members and Employees
of the Commission
29. The authority citation for part 200,
subpart M, is revised to read as follows:
I
Authority: 15 U.S.C. 77s, 77sss, 78w, 80a–
37, 80b–11; E.O. 11222, 3 CFR, 1964–1965
Comp., p.36; 5 CFR 735.104, unless
otherwise noted.
§ 200.735–3
[Amended]
30. Section 200.735–3 is amended by:
a. In the second sentence of paragraph
(a)(3), third sentence of paragraph
(b)(3)(i), and third sentence of paragraph
(b)(10)(i), removing the phrase
‘‘Regional Administrators’’ and adding
in its place the phrase ‘‘Regional
Directors’’; and
I b. In the fourth sentence of paragraph
(b)(3)(i), first sentence of paragraph
(b)(6)(i) and second sentence of
paragraph (b)(10)(i), removing the
phrase ‘‘Regional Administrator’’ and
adding in its place the phrase ‘‘Regional
Director’’.
I
I
§ 200.735–4
[Amended]
31. Section 200.735–4 is amended by:
a. In the first sentence of paragraph
(b)(6)(iii)(A)(1 ), first and second
sentences of paragraph (b)(6)(iii)(B), and
third sentence of paragraph (f),
removing the phrase ‘‘Regional
Administrators’’ and adding in its place
the phrase ‘‘Regional Directors’’; and
I b. In the first sentence of introductory
text of paragraph (b)(6)(iii)(A) and
second sentence of paragraph (f),
removing the phrase ‘‘Regional
Administrator’’ and adding in its place
the phrase ‘‘Regional Director’’.
I
I
§ 200.735–5
[Amended]
32. Section 200.735–5, is amended by:
a. In the first sentence of paragraph
(f)(2), removing the phrase ‘‘Regional
Administrator’’ and adding in its place
the phrase ‘‘Regional Director’’; and
I b. In the second sentence of paragraph
(f)(2), removing the phrase ‘‘Regional
Administrators’’ and adding in its place
the phrase ‘‘Regional Directors’’.
I
I
§ 200.735–6
[Amended]
33. Section 200.735–6 is amended by:
a. In the first and fourth sentences,
removing the phrase ‘‘Regional
Administrator’’ and adding in its place
the phrase ‘‘Regional Director’’; and
I b. In the second sentence, removing
the phrase ‘‘Regional Administrators’’
and adding in its place the phrase
‘‘Regional Directors’’.
I 34. Section 200.735–11 is amended by
revising paragraph (c)(2)(v) to read as
follows:
I
I
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§ 200.735–11 Statement of employment
and financial interests.
read ‘‘Division Director or Regional
Director’’.
*
*
*
*
*
(c) * * *
(2) * * *
(v) Regional Offices
(A) Directors
(B) Associate Directors
(C) Assistant Directors
*
*
*
*
*
§ 200.735–15
§ 202.7
42. Section 202.7, paragraph (a),
second sentence, is amended by
removing the phrase ‘‘or district’’, in
both places it appears.
I
PART 203—RULES RELATING TO
INVESTIGATIONS
[Amended]
43. The authority citation for part 203
is revised to read as follows:
35. Section 200.735–15, paragraph (b),
first sentence, is amended by removing
the phrase ‘‘Administrator of each
regional office’’ and adding in its place
‘‘Regional Director of each regional
office’’.
I
PART 201—RULES OF PRACTICE
I
I
36. The authority citation for part 201,
is revised to read as follows:
I
Authority: 15 U.S.C. 77s, 77sss, 78w, 78x,
80a–37, and 80b–11; 5 U.S.C. 504(c)(1).
Subpart C—Procedures Pertaining to
the Payment of Bounties Pursuant to
Subsection 21A(e) of the Securities
Exchange Act of 1934
37. The authority citation for part 201,
Subpart C, continues to read as follows:
I
Authority: 15 U.S.C. 78u–1 and 78w.
§ 201.63
[Amended]
38. Section 201.63, last sentence, is
amended by removing ‘‘450 Fifth Street
NW., Washington, DC 20549’’ and
adding in its place the phrase ‘‘100 F
Street, NE., Washington, DC 20549’’.
I
PART 202—INFORMAL AND OTHER
PROCEDURES
39. The authority citation for part 202
is revised to read as follows:
I
Authority: 15 U.S.C. 77s, 77t, 77sss, 77uuu,
78d–1, 78u, 78w, 78ll(d), 80a–37, 80a–41,
80b–9, 80b–11, 7202 and 7211 et seq., unless
otherwise noted.
Section 202.5 is also issued under sec. 20,
48 Stat. 86, sec. 21, 48 Stat. 899, sec. 18, 49
Stat. 831, sec. 321, 53 Stat. 1174, sec. 1, 76
Stat. 394, 15 U.S.C. 77t, 77uuu, 78d–1, 78u,
80a–4l, and 80b–9.
Section 202.9 is also issued under sec. 223,
110 Stat. 859 (Mar. 29, 1996).
§ 202.2
[Amended]
40. Section 202.2 is amended by
removing the phrase ‘‘or district’’ from
the last sentence.
I
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[Amended]
§ 202.5
[Amended]
41. Section 202.5, paragraph (c), third
sentence, is amended by revising the
phrase ‘‘Division Director, Regional
Director, or District Administrator’’ to
I
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Authority: 15 U.S.C. 77s, 77sss, 78w, 80a–
37, and 80b–11, unless otherwise noted.
§ 203.2
[Amended]
44. Section 203.2 is amended by
removing the phrase ‘‘Regional Offices
at the level of Assistant Regional
Director or District Administrator or
higher’’ and adding in its place
‘‘Regional Offices at the level of
Assistant Regional Director or higher’’.
§ 203.7
[Amended]
45. Section 203.7 is revised by:
I a. In paragraph (a), second sentence,
removing the phrase ‘‘Regional or
District Offices at the level of Assistant
Regional Director or District
Administrator or higher’’ and adding in
its place ‘‘Regional Offices at the level
of Assistant Regional Director or
higher’’; and
I b. In paragraph (e), second sentence,
removing the phrase ‘‘§ 201.2(e) of this
chapter (Rule 2(e) of the Commission’s
rules of practice),’’ and adding in its
place the phrase ‘‘§ 201.102(e) of this
chapter (Rule 102(e) of the
Commission’s rules of practice),’’.
I
PART 209—FORMS PRESCRIBED
UNDER THE COMMISSION’S RULES
OF PRACTICE
46. The authority citation for part 209
is revised to read as follows:
I
Authority: 15 U.S.C. 77h–1, 77u, 78u–2,
78u–3, 78v, 78w, 80a–9, 80a–37, 80a–38,
80a–39, 80a–40, 80a–41, 80a–44, 80b–3, 80b–
9, 80b–11, and 80b–12, unless otherwise
noted.
PART 230—GENERAL RULES AND
REGULATIONS, SECURITIES ACT OF
1933
48. The authority citation for part 230
continues to read, in part, as follows:
I
Authority: 15 U.S.C. 77b, 77c, 77d, 77f,
77g, 77h, 77j, 77r, 77s, 77z–3, 77sss, 78c, 78d,
78j, 78l, 78m, 78n, 78o, 78t, 78w, 78ll (d),
78mm, 80a–8, 80a–24, 80a–28, 80a–29, 80a–
30, and 80a–37, unless otherwise noted.
*
*
§ 230.497
*
[Amended]
47. Section 209.0–1 is amended by:
a. Revising the phrase ‘‘450 Fifth
Street, NW., Washington, DC 20549’’ to
read ‘‘100 F Street, NE., Washington, DC
20549’’ in the first sentence of
paragraph (b); and
I b. Removing the phrase ‘‘and district’’
in the second and third sentences of
paragraph (b).
I
Frm 00007
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*
49. Section 230.497, paragraph
(k)(2)(ii), second sentence, is amended
by removing the phrase ‘‘450 Fifth St.,
NW., Mail Stop 5–6, Washington, DC
20549–6009’’ and adding in its place the
phrase ‘‘100 F Street, NE., Washington,
DC 20549–4720’’.
I
PART 232—REGULATION S–T—
GENERAL RULES AND REGULATIONS
FOR ELECTRONIC FILINGS
50. The authority citation for part 232
continues to read, in part, as follows:
I
Authority: 15 U.S.C. 77f, 77g, 77h, 77j,
77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 78n,
78o(d), 78w(a), 78ll, 80a–8, 80a–29, 80a–30,
80a–37, and 7201 et seq.; and 18 U.S.C. 1350.
*
*
§ 232.12
*
*
*
[Amended]
51. Section 232.12, paragraph (a), is
amended by removing the phrase ‘‘450
Fifth Street, NW., Washington, DC
20549’’ and adding in its place the
phrase ‘‘100 F Street, NE., Washington,
DC 20549’’.
I
PART 240—GENERAL RULES AND
REGULATIONS, SECURITIES
EXCHANGE ACT OF 1934
52. The authority citation for part 240
continues to read, in part, as follows:
I
Authority: 15 U.S.C. 77c, 77d, 77g, 77j,
77s, 77z–2, 77z–3, 77eee, 77ggg, 77nnn,
77sss, 77ttt, 78c, 78d, 78e, 78f, 78g, 78i, 78j,
78j–1, 78k, 78k–1, 78l, 78m, 78n, 78o, 78p,
78q, 78s, 78u–5, 78w, 78x, 78ll, 78mm, 80a–
20, 80a–23, 80a–29, 80a–37, 80b–3, 80b–4,
80b–11, and 7201 et seq.; and 18 U.S.C. 1350,
unless otherwise noted.
*
*
*
*
*
[Amended]
53. Section 240.15b7–3T, paragraph
(c), second sentence and paragraph
(e)(2) are amended by removing the
phrase ‘‘450 Fifth Street, NW.,
Washington, DC 20549–1002’’, each
time that it appears, and by adding in
its place the phrase ‘‘100 F Street, NE.,
Washington, DC 20549–6628’’.
I
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[Amended]
§ 240.15b7–3T
§ 209–0,1
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§ 240.15c3–1
I
[Amended]
54. Section 240.15c3–1 is amended:
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a. In paragraph (a)(6)(iv), second
sentence, by removing the phrase ‘‘or
district’’ each time it appears;
I b. In paragraph (a)(6)(v), second
sentence, by removing the phrase ‘‘or
district’’ each time it appears;
I c. In paragraph (c)(2)(x)(C)(1), by
removing the phrase ‘‘district or’’ both
times it appears;
I d. In paragraph (c)(12), by removing
the phrase ‘‘or District’’; and
I e. In paragraph (e)(1)(iv), by removing
the phrase ‘‘or district’’ both times it
appears.
I
§ 240.15c3–1d
[Amended]
55. Section 240.15c3–1d is amended
by:
I a. Removing the phrase ‘‘or District’’
in the first and fourth sentences of
paragraph (c)(6)(i) and the first sentence
of paragraph (c)(6)(ii), each time that it
appears; and
I b. Removing the phrase ‘‘or district’’
in the first sentence of paragraphs
(c)(6)(i) and (c)(6)(ii); and
I c. Removing the authority citation at
the end of the section.
I 56. Section 240.17a–3 is amended by
removing the phrase ‘‘or district’’ in the
first sentence of paragraph (b)(2) and the
first sentence of the legend following
paragraph (b)(2).
I
§ 240.17a–5
[Amended]
57. Section 240.17a–5 is amended by
removing the phrase ‘‘or district’’ each
time that it appears in:
I a. The first sentence of paragraph
(a)(3);
I b. The second sentence of paragraph
(b)(1);
I c. The introductory text of paragraph
(c)(1);
I d. Paragraph (c)(2)(iii);
I e. Paragraph (c)(2)(iv);
I f. The last sentence of paragraph
(d)(1)(i);
I g. The first sentence of paragraph
(d)(6);
I h. The last sentence of the
introductory text of paragraph (e)(4);
I i. The first sentence of paragraph
(f)(2)(i);
I j. The introductory text of paragraph
(f)(4); and
I k. Paragraph (n)(1).
[Amended]
58. Section 240.17a–7 is amended by
removing the phrase ‘‘or District’’ in:
I a. Paragraph (b)(1);
I b. The first sentence of the legend
following paragraph (b)(1); and
I c. The last sentence of paragraph
(b)(2).
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I
§ 240.17a–11
[Amended]
59. Section 240.17a–11 is amended, in
paragraph (g), by revising the phrase
I
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§ 240.17Ad–2
Jkt 214001
[Amended]
60. Section 240.17Ad–2 is amended
by:
I a. In paragraph (h)(1), revising the
phrase ‘‘Regional or District Office of
the Commission for the region or
district’’ to read ‘‘regional office of the
Commission for the region’’; and
I b. Removing the authority citation at
the end of the section.
§ 240.17Ad–21T
[Amended]
PART 249—FORMS, SECURITIES
EXCHANGE ACT OF 1934
62. The authority citation for part 249
continues to read, in part, as follows:
I
Authority: 15 U.S.C. 78a et seq., and 7202,
7233, 7241, 7262, 7264, and 7265; and 18
U.S.C. 1350, unless otherwise noted.
§ 249.322
*
*
§ 249b.200
[Amended]
67. Section 249b.200 is amended by
removing the phrase ‘‘450 Fifth Street,
NW, Washington, DC 20549’’ and
adding in its place the phrase ‘‘100 F
Street, NE., Washington, DC 20549’’ and
removing the phrase ‘‘and district’’ in
footnote 1.
PART 260—GENERAL RULES AND
REGULATIONS, TRUST INDENTURE
ACT OF 1939
68. The authority citation for part 260
continues to read as follows:
I
61. Section 240.17Ad–21T,
paragraphs (c) and (e)(2), second
sentences, is amended by removing the
phrase ‘‘450 Fifth Street, NW,
Washington, DC 20549–1002’’, each
time that it appears, and by adding in
its place the phrase ‘‘100 F Street, NE.,
Washington, DC 20549–6628’’.
I
*
removing the phrase ‘‘and district’’ in
footnote 1.
I
I
*
I
§ 240.17a–7
‘‘regional or district office of the
Commission for the region or district’’ to
read ‘‘regional office of the Commission
for the region’’.
*
[Amended]
63. Section 249.322 is amended by
removing the phrase ‘‘450 Fifth Street,
NW., Washington, DC 20549’’ and
adding in its place the phrase ‘‘100 F
Street, NE., Washington, DC 20549’’, in
the last sentence of paragraph (a).
I
Authority: 15 U.S.C. 77eee, 77ggg, 77nnn,
77sss, 78ll(d), 80b–3, 80b–4, and 80b–11.
§ 260.0–5
[Amended]
69. Section 260.0–5, paragraph (a), is
amended by removing the phrase ‘‘450
Fifth Street, NW., Washington, DC
20549’’ and adding in its place the
phrase ‘‘100 F Street, NE., Washington,
DC 20549’’.
I
PART 270—RULES AND
REGULATIONS, INVESTMENT
COMPANY ACT OF 1940
70. The authority citation for part 270
continues to read, in part, as follows:
I
Authority: 15 U.S.C. 80a–1 et seq.,
80a–34(d), 80a–37, and 80a–39, unless
otherwise noted.
*
*
*
§ 270.17f–4
*
*
[Amended]
I
71. Section 270.17f–4, paragraph
(c)(1), fourth sentence, is amended by
removing the phrase ‘‘450 5th Street,
NW., Washington, DC 20549’’ and
adding in its place the phrase ‘‘100 F
Street, NE., Washington, DC 20549’’.
Authority: 15 U.S.C. 78a et seq., unless
otherwise noted;
PART 274—FORMS PRESCRIBED
UNDER THE INVESTMENT COMPANY
ACT OF 1940
PART 249b—FURTHER FORMS,
SECURITIES EXCHANGE ACT OF 1934
64. The authority citation for part
249b continues to read, in part, as
follows:
*
*
*
§ 249b.100
*
*
72. The authority citation for part 274
continues to read, in part, as follows:
I
[Amended]
65. Section 249b.100 is amended by
removing the phrase ‘‘450 Fifth Street,
NW, Washington, DC 20549’’ and
adding in its place the phrase ‘‘100 F
Street, NE., Washington, DC 20549’’ and
removing the phrase ‘‘and district’’ in
footnote 1.
I
§ 249b.102
[Amended]
66. Section 249b.102 is amended by
removing the phrase ‘‘450 Fifth Street,
NW, Washington, DC 20549’’ and
adding in its place the phrase ‘‘100 F
Street, NE., Washington, DC 20549’’ and
I
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I
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s,
78c(b), 78l, 78m, 78n, 78o(d), 80a–8, 80a–24,
80a–26, and 80a–29, unless otherwise noted.
*
*
§ 274.0–1
*
*
*
[Amended]
73. Section 274.0–1 is amended, in
paragraph (b), by removing the phrase
‘‘450 Fifth Street, NW., Washington, DC
20549’’ and adding in its place the
phrase ‘‘100 F Street, NE., Washington,
DC 20549’’ in the first sentence, and
removing the phrase ‘‘and district’’ in
the second and third sentences.
I
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74. The authority citation for part 275
continues to read, in part, as follows:
a. The first sentence of paragraph
(j)(3)(i);
I b. The first sentence of the legend
following paragraph (j)(3)(i); and
I c. The last sentence of paragraph
(j)(3)(ii).
Authority: 15 U.S.C. 80b–2(a)(11)(G),
80b–2(a)(17), 80b–3, 80b–4, 80b–4a, 80b–
6(4), 80b–6a, and 80b–11, unless otherwise
noted.
PART 279—FORMS PRESCRIBED
UNDER THE INVESTMENT ADVISERS
ACT OF 1940
I
PART 275—RULES AND
REGULATIONS, INVESTMENT
ADVISERS ACT OF 1940
I
*
*
*
§ 275.204–2
*
*
76. The authority citation for part 279
continues to read as follows:
I
[Amended]
75. Section 275.204–2 is amended by
removing the phrase ‘‘or District’’ in
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1940, 15 U.S.C. 80b–1 et seq.
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§ 279.0–1
32229
[Amended]
77. Section 279.0–1 is amended, in
paragraph (b), by removing the phrase
‘‘450 Fifth Street, NW., Washington, DC
20549’’ and adding in its place the
phrase ‘‘100 F Street, NE., Washington,
DC 20549’’ in the first sentence, and
removing the phrase ‘‘and district’’, in
the second and third sentences.
I
Dated: May 28, 2008.
By the Commission.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8–12244 Filed 6–4–08; 8:45 am]
BILLING CODE 8010–01–P
E:\FR\FM\05JNR3.SGM
05JNR3
]]>Agencies
[Federal Register Volume 73, Number 109 (Thursday, June 5, 2008)]
[Rules and Regulations]
[Pages 32222-32229]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-12244]
[[Page 32221]]
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Part III
Securities and Exchange Commission
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17 CFR Parts 200, 201, 202 et al.
Regional Office Reorganization; Final Rule
Federal Register / Vol. 73, No. 109 / Thursday, June 5, 2008 / Rules
and Regulations
[[Page 32222]]
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SECURITIES AND EXCHANGE COMMISSION
17 CFR Parts 200, 201, 202, 203, 209, 230, 232, 240, 249, 249b,
260, 270, 274, 275, and 279
[Release No. 34-57877]
Regional Office Reorganization
AGENCY: Securities and Exchange Commission.
ACTION: Final rule amendments.
-----------------------------------------------------------------------
SUMMARY: The Securities and Exchange Commission is amending its rules
to reflect the reorganization of its former five regional and six
district offices into eleven regional offices reporting directly to SEC
Headquarters. The Commission also is correcting addresses appearing in
its rules.
DATES: Effective Date: June 5, 2008.
FOR FURTHER INFORMATION CONTACT: Stephen Jung, (202) 551-5162,
Assistant General Counsel, Office of the General Counsel; Michael
Bloise, (202) 551-5116, Senior Counsel, Office of the General Counsel,
Securities and Exchange Commission, 100 F Street, NE., Washington, DC
20549.
SUPPLEMENTARY INFORMATION: The Commission is amending 17 CFR parts 200,
201, 202, 203, 209, 230, 232, 240, 249, 249b, 260, 270, 274, 275, and
279.
I. Discussion
On March 30, 2007, the Chairman of the Securities and Exchange
Commission announced a new structure for the Commission's regional and
district offices and changes to the designation of the offices and
their chief supervisory personnel.\1\ These changes, which became
effective on April 1, 2007, were intended to facilitate the regional
offices' cooperation with state and federal regulators, law enforcement
agencies and consumer groups at the local level to better protect
investors no matter where they live or with whom they invest.
---------------------------------------------------------------------------
\1\ Press Rel. No. 2007-59 (March 30, 2007).
---------------------------------------------------------------------------
As a result of the reorganization, the former structure, in which
there were six district offices reporting to five regional offices
that, in turn, reported to Commission headquarters, was replaced by a
new structure in which there are eleven regional offices, each
reporting directly to Commission headquarters. Each regional office is
now designated by the name of the city in which it is located, as
follows: Atlanta Regional Office, Boston Regional Office, Chicago
Regional Office, Denver Regional Office, Fort Worth Regional Office,
Los Angeles Regional Office, Miami Regional Office, New York Regional
Office, Philadelphia Regional Office, Salt Lake City Regional Office,
and San Francisco Regional Office.
Pursuant to the reorganization, the title ``District
Administrator'' was discontinued, and the heads of all of the regional
offices are now called ``Regional Directors.'' The term ``Regional
Director'' also replaced the term ``District Administrator'' in the
titles of subordinate managers in the regional offices. The regional
offices report, on enforcement matters, to the Deputy Director of the
Division of Enforcement who is responsible for regional office
enforcement matters and, on examination matters, to the Director of the
Office of Compliance Inspections and Examinations. The Director of
Regional Office Operations continues to oversee regional office
operational and management issues.
To reflect this reorganization, the Commission is amending certain
of its rules to delete the term ``district office'' or replace it with
the term ``regional office,'' as appropriate. Likewise, the Commission
is amending certain of its rules to delete the term ``District
Administrator'' or replace it with the term ``Regional Director,'' as
appropriate. The Commission also is removing rules that describe the
duties of District Administrators and delegate functions to these
persons. In addition, because a number of Commission offices have
relocated since the adoption of the current rules, the Commission is
amending its rules to update the addresses that appear in its rules for
all of its offices.
The rule amendments also update the geographic allocation of
examination and enforcement jurisdiction to each Regional Director.
This geographic allocation also determines where brokers, dealers,
transfer agents, clearing agents, registered securities associations,
investment advisers, and others must file reports that are required to
be filed in regional offices. These registrants should note changes in
the geographic allocation resulting from the reorganization.
II. Administrative Procedure Act and Other Administrative Laws
The Commission has determined that these amendments 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 opportunity for public
participation are not applicable.\2\ For the same reason, and because
these amendments do not substantially affect the rights or obligations
of non-agency parties, the provisions of the Small Business Regulatory
Enforcement Fairness Act are not applicable.\3\ In addition, the
provisions of the Regulatory Flexibility Act, which apply only when
notice and comment are required by the APA or other law, are not
applicable.\4\ Finally, these amendments do not contain any collection
of information requirements as defined by the Paperwork Reduction Act
of 1995, as amended.\5\
---------------------------------------------------------------------------
\2\ 5 U.S.C. 553(b).
\3\ 5 U.S.C. 804.
\4\ 5 U.S.C. 601-12.
\5\ 44 U.S.C. 3501-20.
---------------------------------------------------------------------------
III. Cost-Benefit Analysis
The Commission is sensitive to the costs and benefits imposed by
its rules. The rule amendments the Commission is adopting today update
the Commission's rules to reflect the reorganization of the
Commission's regional offices. The amendments also update addresses for
the Commission's offices that appear in the Commission's rules.
The Commission believes that the reorganization of the Commission's
regional offices will produce the benefit of facilitating the offices'
cooperation with state and federal regulators, law enforcement agencies
and consumer groups at the local level to better protect investors no
matter where they live or with whom they invest. The reorganization
also should help eliminate the potential for redundancy and overlap in
the Commission's inspection and enforcement procedures. Updating
addresses in the Commission's rules will help registrants, investors,
and others avoid misdirecting their communications with the Commission.
The Commission does not believe that the rule amendments will impose
any costs on non-agency parties, or that if there are any such costs,
they are negligible.
IV. Consideration of Burden on Competition
Section 23(a)(2) of the Securities Exchange Act of 1934 (``Exchange
Act'') requires the Commission, in making rules pursuant to any
provision of the Exchange Act, to consider among other matters the
impact any such rule would have on competition. The Commission does not
believe that the amendments that the Commission is adopting today will
have any impact on competition.
[[Page 32223]]
V. Statutory Basis
The Commission is adopting amendments to 17 CFR parts 200, 201,
202, 203, 209, 229, 230, 232, 239, 240, 249, 249b, 260, 269, 270, 274,
275, and 279 pursuant to 15 U.S.C. 77s, 78d-1, 78w, 80a-37, 80b-11,
7202, and the authorities set forth therein.
VI. Text of Final Amendments
List of Subjects
17 CFR Part 200
Administrative practice and procedure, Authority delegations
(Government agencies), Classified information, Environmental impact
statements, Equal employment opportunity, Freedom of information,
Government employees, Organization and functions (Government agencies),
Privacy, Reporting and recordkeeping requirements.
17 CFR Parts 201
Administrative practice and procedure.
17 CFR Part 202
Administrative practice and procedure, Securities.
17 CFR Part 203
Administrative practice and procedure, Investigations, Securities.
17 CFR Part 209
Administrative practice and procedure.
17 CFR Parts 230 and 232
Reporting and recordkeeping requirements, Securities.
17 CFR Part 240
Brokers, Reporting and recordkeeping requirements, Securities.
17 CFR Parts 249, 249b, and 260
Reporting and recordkeeping requirements.
17 CFR Part 270
Investment companies, Reporting and recordkeeping requirements,
Securities.
17 CFR Parts 274, 275, and 279
Reporting and recordkeeping requirements.
0
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
0
1. The authority citation for part 200, subpart A, is amended by
revising the following sub-authorities to read as follows:
Authority: 15 U.S.C. 77o, 77s, 77sss, 78d, 78d-1, 78d-2, 78w,
78ll(d), 78mm, 80a-37, 80b-11, and 7202, unless otherwise noted.
Sections 200.27 and 200.30-6 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.
* * * * *
Section 200.30-3 is also issued under 15 U.S.C. 78b, 78d, 78f,
78k-1, 78q, 78s, and 78eee.
* * * * *
0
2. Section 200.11 is revised to read as follows:
Sec. 200.11 Headquarters Office--Regional Office relationships.
(a)(1) Division and Office Heads in the Headquarters Office (100 F
Street, NE., Washington, DC 20549) have Commission-wide responsibility
to the Commission for the overall development, policy and technical
guidance, and policy direction of the operating programs under their
jurisdiction.
(2) Each Regional Director is responsible for the direction and
supervision of his or her work force and for the execution of all
programs in his or her office's region as shown in paragraph (b) of
this section, in accordance with established policy, and reports, on
enforcement matters, to the Deputy Director of the Division of
Enforcement who is responsible for Regional Office enforcement matters
and, on examination matters, to the Director of the Office of
Compliance Inspections and Examinations. The Director of Regional
Office Operations interacts with the Regional Directors and their staff
on operational and administrative/management issues and serves as their
representative in the Commission's Washington Headquarters in those
areas.
(b) Regional Directors of the Commission.
Atlanta Regional Office: Alabama, Georgia, North Carolina, South
Carolina, and Tennessee--Regional Director, 3475 Lenox Road, NE., Suite
1000, Atlanta, GA 30326-1232.
Boston Regional Office: Connecticut, Maine, Massachusetts, New
Hampshire, Rhode Island, and Vermont--Regional Director, 33 Arch
Street, 23rd Floor, Boston, MA 02110-1424.
Chicago Regional Office: Kentucky, Illinois, Indiana, Iowa,
Michigan, Minnesota, Missouri, Ohio, and Wisconsin--Regional Director,
175 West Jackson Boulevard, Suite 900, Chicago, IL 60604-2908.
Denver Regional Office: Colorado, Kansas, Nebraska, New Mexico,
North Dakota, South Dakota, and Wyoming--Regional Director, 1801
California Street, Suite 1500, Denver, CO 80202-2656.
Fort Worth Regional Office: Arkansas, Kansas (for certain
purposes), Oklahoma, and Texas--Regional Director, Burnett Plaza, Suite
1900, 801 Cherry Street, Unit 18, Fort Worth, TX 76102-6882.
Los Angeles Regional Office: Arizona, Southern California (zip
codes 93599 and below, except 93200-93299), Guam, Hawaii, and Nevada--
Regional Director, 5670 Wilshire Boulevard, 11th Floor, Los Angeles, CA
90036-3648.
Miami Regional Office: Florida, Louisiana, Mississippi, Puerto
Rico, and the Virgin Islands--Regional Director, 801 Brickell Avenue,
Suite 1800, Miami, FL 33131-4901.
New York Regional Office: New York and New Jersey--Regional
Director, 3 World Financial Center, Suite 400, New York, NY 10281-1022.
Philadelphia Regional Office: Delaware, District of Columbia,
Maryland, Pennsylvania, Virginia, and West Virginia--Regional Director,
701 Market Street, Suite 2000, Philadelphia, PA 19106-1532.
Salt Lake City Regional Office: Utah--Regional Director, 15 W.
South Temple Street, Suite 1800, Salt Lake City, UT 84101-1573.
San Francisco Regional Office: Alaska, Northern California (zip
codes 93600 and up, plus 93200-93299), Idaho, Montana, Oregon, and
Washington--Regional Director, 44 Montgomery Street, Suite 2600, San
Francisco, CA 94104-4716.
(c) The geographic allocation set forth in paragraph (b) of this
section 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 offices.
Sec. 200.12 [Amended]
0
3. Section 200.12 is amended by removing from the first sentence the
phrase ``and District Administrators'' and the authority citation
following the section.
[[Page 32224]]
Sec. 200.21a [Amended]
0
4. Section 200.21a, paragraph (b)(2), is amended by removing the phrase
``District Administrators,''.
0
5. Section 200.27 is revised to read as follows:
Sec. 200.27 The Regional Directors.
Each Regional Director is responsible for executing the
Commission's programs within his or her geographic region as set forth
in Sec. 200.11(b), subject to review, on enforcement matters, by the
Deputy Director of the Division of Enforcement who is responsible for
Regional Office enforcement matters and, on examination matters, by the
Director of the Office of Compliance Inspections and Examinations, and
subject to policy direction and review by the other Division Directors,
the General Counsel, and the Chief Accountant. The Regional Directors'
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 area. In addition, the Regional Director of the New York
Regional Office is responsible for the Commission's participation in
cases under chapters 9 and 11 of the Bankruptcy Code in Connecticut,
Maine, Massachusetts, New Hampshire, New Jersey, New York,
Pennsylvania, Rhode Island, and Vermont; the Regional Director of the
Atlanta Regional Office is responsible for such participation in
Alabama, Delaware, District of Columbia, Florida, Georgia, Louisiana,
Maryland, Mississippi, North Carolina, Puerto Rico, South Carolina,
Tennessee, Virgin Islands, Virginia, and West Virginia; the Regional
Director of the Chicago Regional Office is responsible for such
participation in Arkansas, Colorado, Illinois, Indiana, Iowa, Kansas,
Kentucky, Michigan, Minnesota, Missouri, Nebraska, New Mexico, North
Dakota, Ohio, Oklahoma, South Dakota, Texas, Wisconsin, and Wyoming;
and the Regional Director of the Los Angeles Regional Office is
responsible for such participation in Alaska, Arizona, California,
Guam, Hawaii, Idaho, Montana, Nevada, Oregon, Utah, and Washington.
Sec. 200.27a [Removed]
0
6. Section 200.27a is removed.
Sec. 200.28 [Amended]
0
7. Section 200.28, paragraph (a), is amended by removing the phrase
``Regional Administrators'' and adding in its place ``Regional
Directors''.
Sec. 200.30-6a [Removed]
0
8. Section 200.30-6a is removed.
Sec. 200.30-11 [Amended]
0
9. Section 200.30-11, paragraph (c)(2), is amended by removing the
phrase ``or district'' and by removing the authority citation following
the section.
Subpart D--Information and Requests
0
10. The general authority citation for part 200, subpart D, is revised
to read as follows:
Authority: 5 U.S.C. 552, as amended, 15 U.S.C. 77f(d), 77s,
77ggg(a), 77sss, 78m(F)(3), 78w, 80a-37, 80a-44(a), 80a-44(b), 80b-
10(a), and 80b-11.
* * * * *
0
11. Section 200.80 is amended by:
0
a. In paragraph (a)(2), the introductory text, revising the phrase
``during normal business hours at the public reference room located at
450 Fifth Street, NW., Room 1024, Washington, DC and at the Northeast
and Midwest Regional Offices of the Commission,'' to read ``from 10
a.m. to 3 p.m., E.T., at the public reference room located at 100 F
Street, NE., Washington, DC,'';
0
b. Revising paragraph (c)(1);
0
c. In paragraph (c)(2), in the first sentence, removing the phrase ``or
at its other public reference facilities''; in the second sentence,
removing the phrase ``and District''; and in the third sentence,
removing the phrase ``450 Fifth Street, NW., Washington, DC 20549'' and
adding in its place ``100 F Street, NE., Washington, DC 20549'';
0
d. In paragraph (d)(1):
0
i. In the first sentence, revising the phrase ``reference facilities
may be made in person during normal business hours at those
facilities'' to read ``reference facility may be made in person from 10
a.m. to 3 p.m., E.T., at this facility'';
0
ii. In the second sentence, revising the phrase ``reference
facilities'' to read ``reference facility''; and
0
iii. In the last sentence, revising the phrase ``Operations Center,
6432 General Green Way, Alexandria, VA 22312-2413. The request may also
be made by facsimile (703-914-1149) or by Internet'' to read ``100 F
Street, NE., Washington, DC 20549. The request may also be made by
facsimile (202-772-9337) or by Internet'';
0
e. In paragraphs (d)(2) and (d)(4), first sentence, revising the phrase
``reference facilities'' to read ``reference facility'';
0
f. In paragraph (d)(2), first sentence, removing the word
``appropriate'';
0
g. Revising paragraph (d)(6)(ii);
0
h. In paragraph (d)(7)(i) in the third and fourth sentences, removing
the phrase ``or district'';
0
i. In the introductory text of paragraph (e), second sentence, removing
the phrase ``or district'';
0
j. In paragraph (e)(2), first and third sentences, revising the phrase
``reference facilities'' to read ``reference facility'' and in the
second sentence revising the phrase ``450 Fifth Street, NW., Room 1024,
Washington, DC'' to read ``100 F Street, NE., Washington, DC'';
0
k. In paragraph (e)(7)(i), first sentence, by removing the phrase
``Washington, DC, Northeast, or Midwest public reference rooms'', and
adding in its place ``Washington, DC public reference room'';
0
l. In paragraph (e)(7)(i), first sentence, removing the phrase ``450
Fifth Street, NW., room 1024, Washington, DC 20549'' and adding in its
place the phrase ``100 F Street, NE., Washington, DC 20549''; and
0
m. In paragraph (e)(7)(ii), last sentence, removing ``450 Fifth Street,
NW., Room 1024, Washington, DC'' to read ``100 F Street, NE.,
Washington, DC'';
0
n. In paragraph (e)(7)(iii), second sentence, removing the phrase ``450
Fifth Street, NW., Room 1024, Washington, DC.'' and adding in its place
the phrase ``100 F Street, NE., Washington, DC'', and removing the
phrase ``and district''.
The revisions read as follow:
Sec. 200.80 Commission records and information.
* * * * *
(c)(1) Public reference facility. In order to disseminate records,
including those listed in appendix A to this section, the Commission
has a specially staffed and equipped public reference room located at
100 F Street, NE., Washington, DC. Copying machines, which are
available to requestors on a self-service or contractor-operated basis,
can be used to make immediate copies up to 8\1/2\ by 11 inches in size
of materials that are available for inspection in the Washington, DC
Headquarters. Fees and levels of service are set out in the
Commission's schedule of fees in appendix E to this
[[Page 32225]]
section and in information available from the public reference room.
The Commission accepts only written requests for copies of documents.
(i) The public reference room in Washington, DC has available for
public inspection all of the publicly available records of the
Commission as described in paragraph (a) of this section. Upon request,
and only when suitable arrangements can be made with respect to the
transportation, storage, and inspection of records, records may be sent
to any other Commission office for inspection at that office, if the
records are not needed by the Commission or the staff in connection
with the performance of official duties. When the records are sent to
another office at the request of a member of the public, the requestor
shall be charged all costs incurred by the Commission in transporting
the records.
(ii) All regional offices of the Commission have available for
public examination the materials set forth in paragraph (a)(2) of this
section and the SEC Docket, SEC News Digest, and other SEC
publications. Blank forms as well as other general information about
the operations of the Commission described in paragraph (a)(1) of this
section may also be available at particular regional offices.
(iii) The addresses of the Commission's regional offices are:
Atlanta Regional Office--3475 Lenox Road, NE., Suite 1000, Atlanta,
GA 30326-1232. Office hours--9 a.m. to 5:30 p.m. E.T.
Boston Regional Office--33 Arch Street, 23rd Floor, Boston, MA
02110-1424. Office hours--9 a.m. to 5:30 p.m. E.T.
Chicago Regional Office--175 West Jackson Boulevard, Suite 900,
Chicago, IL 60604-2908. Office hours--8:45 a.m. to 5:15 p.m. C.T.
Denver Regional Office--1801 California Street, Suite 1500, Denver,
CO 80202-2656. Office hours--8 a.m. to 4:30 p.m. M.T.
Fort Worth Regional Office--Burnett Plaza, Suite 1900, 801 Cherry
Street, Unit 18, Fort Worth, TX 76102-6882. Office hours--8:30
a.m. to 5 p.m. C.T.
Los Angeles Regional Office--5670 Wilshire Boulevard, 11th Floor,
Los Angeles, CA 90036-3648. Office hours--8:30 a.m. to 5 p.m. P.T.
Miami Regional Office--801 Brickell Avenue, Suite 1800, Miami, FL
33131-4901. Office hours--9 a.m. to 5:30 p.m. E.T.
New York Regional Office--3 World Financial Center, Suite 400, New
York, NY 10281-1022. Office hours--9 a.m. to 5:30 p.m. E.T.
Philadelphia Regional Office--701 Market Street, Suite 2000,
Philadelphia, PA 19106-1532. Office hours--9 a.m. to 5:30 p.m. E.T.
Salt Lake City Regional Office--15 W. South Temple Street, Suite
1800, Salt Lake City, UT 84101-1573. Office hours--8 a.m. to 4:30 p.m.
M.T.
San Francisco Regional Office--44 Montgomery Street, Suite 2600,
San Francisco, CA 94104-4716. Office hours--8:30 a.m. to 5 p.m. P.T.
* * * * *
(d) * * *
(6) * * *
(ii) The appeal must be mailed to the Office of Freedom of
Information and Privacy Act Operations, SEC, 100 F Street, NE.,
Washington, DC 20549, and a copy of it must be mailed to the General
Counsel, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549.
* * * * *
Sec. 200.80e [Amended]
0
12. The last paragraph of Sec. 200.80e is amended by revising the
phrase ``public reference rooms'' to read ``public reference room'' in
the first sentence, and in the third sentence of the same paragraph
removing the phrase ``450 Fifth Street, NW., room 1024, Washington, DC
20549 or calling 202-272-3100'' and adding in its place ``100 F Street,
NE., Washington, DC 20549 or calling 202-551-8090''.
Sec. 200.83 [Amended]
0
13-14. Section 200.83 is amended by
0
a. Removing the phrase ``Operations Center, 6432 General Green Way,
Alexandria, VA 22312-2413'', and adding in its place the phrase ``100 F
Street, NE., Washington, DC 20549'', in the first sentence of paragraph
(c)(3) and the second sentence of paragraph (c)(7); and
0
b. In paragraph (e)(2) by removing the phrase ``Operations Center, 6432
General Green Way, Alexandria, VA 22312-2413, or by facsimile (703-914-
1149)'' and adding in its place the phrase ``100 F Street, NE.,
Washington, DC 20549, or by facsimile (202-772-9337)'', in the second
sentence, and by removing the phrase ``450 Fifth Street, NW.,
Washington, DC 20549'' and adding in its place the phrase ``100 F
Street, NE., Washington, DC 20549'' in the third sentence.
Subpart G--Plan of Organization and Operation Effective During
Emergency Conditions
0
15. The authority citation for part 200, subpart G, continues to read
as follows:
Authority: 15 U.S.C. 77s, 78d, 78d-1, 78w, 77sss, 80a-37, 80b-
11; Reorganization Plan No. 10 of 1950 (15 U.S.C. 78d nt).
Sec. 200.202 [Amended]
0
16. Section 200.202(a), second sentence, is amended by removing the
phrase ``and District'' and by removing the phrase ``or District
Administrator''.
Sec. 200.203 [Amended]
0
17. In Sec. 200.203 paragraph (c)(1)(v) is removed.
Sec. 200.204 [Amended]
0
18. Section 200.204 is amended by removing the phrase ``and District
Administrators''.
Subpart H--Regulations Pertaining to the Privacy of Individuals and
Systems of Records Maintained by the Commission
0
19. The authority citation for part 200, subpart H, continues to read
in part as follows:
Authority: 5 U.S.C. 552a(f), unless otherwise noted.
* * * * *
0
20. Section 200.303 is amended by:
0
a. Revising the phrase ``Privacy Act Officer, SEC, Operations Center,
6432 General Green Way, Alexandria, VA 22312-2413, or by facsimile
(703-914-1149)'' in the introductory text of paragraph (a), first
sentence, to read ``Office of Freedom of Information and Privacy Act
Operations, SEC, 100 F Street, NE., Washington, DC 20549, or by
facsimile (202-772-9337)'';
0
b. Revising paragraph (a)(2); and
0
c. Revising the phrase ``Office of Freedom of Information and Privacy
Act Operations, SEC, Operations Center, 6432 General Green Way,
Alexandria, VA 22312-2413, or at one of its Regional or District'' to
read ``Office of Freedom of Information and Privacy Act Operations,
SEC, 100 F Street, NE., Washington, DC 20549, or at one of its
Regional'' in the first sentence of paragraph (b)(2).
The revision reads 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) Verification of identity. When the fact of the existence of a
record is not required to be disclosed under the Freedom of Information
Act, 5 U.S.C. 552, as amended, or when a record as to which access has
been requested is not required to be disclosed under that Act, the
individual seeking the information or requesting access to the
[[Page 32226]]
record shall be required to verify his or her identity before access
will be granted or information given. For this purpose, individuals
shall appear at the Office of Freedom of Information and Privacy Act
Operations, SEC, 100 F Street, NE., Washington, DC 20549, during normal
business hours of 9 a.m. to 5:30 p.m. E.S.T., Monday through Friday, or
at one of the Commission's Regional Offices. The addresses and business
hours of those offices are listed below:
Atlanta Regional Office--3475 Lenox Road, NE., Suite 1000, Atlanta,
GA 30326-1232. Office hours--9 a.m. to 5:30 p.m. E.T.
Boston Regional Office--33 Arch Street, 23rd Floor, Boston, MA
02110-1424. Office hours--9 a.m. to 5:30 p.m. E.T.
Chicago Regional Office--175 West Jackson Boulevard, Suite 900,
Chicago, IL 60604-2908. Office hours--8:45 a.m. to 5:15 p.m. C.T.
Denver Regional Office--1801 California Street, Suite 1500, Denver,
CO 80202-2656. Office hours--8 a.m. to 4:30 p.m. M.T.
Fort Worth Regional Office--Burnett Plaza, Suite 1900, 801 Cherry
Street, Unit 18, Fort Worth, TX 76102-6882. Office hours--8:30
a.m. to 5 p.m. C.T.
Los Angeles Regional Office--5670 Wilshire Boulevard, 11th Floor,
Los Angeles, CA 90036-3648. Office hours--8:30 a.m. to 5 p.m. P.T.
Miami Regional Office--801 Brickell Avenue, Suite 1800, Miami, FL
33131-4901. Office hours--9 a.m. to 5:30 p.m. E.T.
New York Regional Office--3 World Financial Center, Suite 400, New
York, NY 10281-1022. Office hours--9 a.m. to 5:30 p.m. E.T.
Philadelphia Regional Office--701 Market Street, Suite 2000,
Philadelphia, PA 19106-1532. Office hours--9 a.m. to 5:30 p.m. E.T.
Salt Lake City Regional Office--15 W. South Temple Street, Suite
1800, Salt Lake City, UT 84101-1573. Office hours--8 a.m. to 4:30 p.m.
M.T.
San Francisco Regional Office--44 Montgomery Street, Suite 2600,
San Francisco, CA 94104-4716. Office hours--8:30 a.m. to 5 p.m. P.T.
None of the Commission's offices is open on Saturday, Sunday or the
following legal holidays: New Year's Day, Martin Luther King, Jr.'s
Birthday, Presidents' Day, Memorial Day, Independence Day, Labor Day,
Veterans' Day, Columbus Day, Thanksgiving Day, and Christmas Day.
* * * * *
Sec. 200.309 [Amended]
0
21. Section 200.309 is amended by removing the phrase ``or District''
in the third and fourth sentences of paragraph (a)(1), and removing the
authority citation at the end of the section.
Subpart J--Classification and Declassification of National Security
Information and Material
0
22. The authority citation for part 200, subpart J, continues to read
as follows:
Authority: Sec. 19, Securities Act of 1933, as amended, 48 Stat.
84, 15 U.S.C. 77s. E.O. 12356, (47 FR 14874, Apr. 6, 1982).
Information Security Oversight Office Directive No. 1 (47 FR 27836,
June 25, 1982).
Sec. 200.503 [Amended]
0
23. Section 200.503, introductory text of the section, second sentence,
is amended by removing the phrase ``450 5th Street, NW., Washington, DC
20549'' and adding in its place the phrase ``100 F Street, NE.,
Washington, DC 20549''.
Sec. 200.508 [Amended]
0
24. Section 200.508, paragraph (a), second sentence, is amended by
removing the phrase ``450 5th Street, NW., Washington, DC 20549'' and
adding in its place the phrase ``100 F Street, NE., Washington, DC
20549''.
Subpart K--Regulations Pertaining to the Protection of the
Environment
0
25. The authority citation for part 200, subpart K, continues to read
as follows:
Authority: 15 U.S.C. 78w(a)(2).
Sec. 200.554 [Amended]
0
26. Section 200.554, paragraph (b), is amended by removing the phrase
``450 Fifth Street, NW., Room 1024, Washington, DC'' and adding in its
place the phrase ``100 F Street, NE., Washington, DC 20549''.
Subpart L--Enforcement of Nondiscrimination on the Basis of
Handicap in Programs or Activities Conducted by the Securities and
Exchange Commission
0
27. The authority citation for part 200, subpart L, continues to read
as follows:
Authority: 29 U.S.C. 794.
Sec. 200.670 [Amended]
0
28. Section 200.670, paragraph (c), is amended by removing the phrase
``450 Fifth Street NW., Washington, DC 20549'' and adding in its place
the phrase ``100 F Street, NE., Washington, DC 20549''.
Subpart M--Regulation Concerning Conduct of Members and Employees
and Former Members and Employees of the Commission
0
29. The authority citation for part 200, subpart M, is revised to read
as follows:
Authority: 15 U.S.C. 77s, 77sss, 78w, 80a-37, 80b-11; E.O.
11222, 3 CFR, 1964-1965 Comp., p.36; 5 CFR 735.104, unless otherwise
noted.
Sec. 200.735-3 [Amended]
0
30. Section 200.735-3 is amended by:
0
a. In the second sentence of paragraph (a)(3), third sentence of
paragraph (b)(3)(i), and third sentence of paragraph (b)(10)(i),
removing the phrase ``Regional Administrators'' and adding in its place
the phrase ``Regional Directors''; and
0
b. In the fourth sentence of paragraph (b)(3)(i), first sentence of
paragraph (b)(6)(i) and second sentence of paragraph (b)(10)(i),
removing the phrase ``Regional Administrator'' and adding in its place
the phrase ``Regional Director''.
Sec. 200.735-4 [Amended]
0
31. Section 200.735-4 is amended by:
0
a. In the first sentence of paragraph (b)(6)(iii)(A)(1 ), first and
second sentences of paragraph (b)(6)(iii)(B), and third sentence of
paragraph (f), removing the phrase ``Regional Administrators'' and
adding in its place the phrase ``Regional Directors''; and
0
b. In the first sentence of introductory text of paragraph
(b)(6)(iii)(A) and second sentence of paragraph (f), removing the
phrase ``Regional Administrator'' and adding in its place the phrase
``Regional Director''.
Sec. 200.735-5 [Amended]
0
32. Section 200.735-5, is amended by:
0
a. In the first sentence of paragraph (f)(2), removing the phrase
``Regional Administrator'' and adding in its place the phrase
``Regional Director''; and
0
b. In the second sentence of paragraph (f)(2), removing the phrase
``Regional Administrators'' and adding in its place the phrase
``Regional Directors''.
Sec. 200.735-6 [Amended]
0
33. Section 200.735-6 is amended by:
0
a. In the first and fourth sentences, removing the phrase ``Regional
Administrator'' and adding in its place the phrase ``Regional
Director''; and
0
b. In the second sentence, removing the phrase ``Regional
Administrators'' and adding in its place the phrase ``Regional
Directors''.
0
34. Section 200.735-11 is amended by revising paragraph (c)(2)(v) to
read as follows:
[[Page 32227]]
Sec. 200.735-11 Statement of employment and financial interests.
* * * * *
(c) * * *
(2) * * *
(v) Regional Offices
(A) Directors
(B) Associate Directors
(C) Assistant Directors
* * * * *
Sec. 200.735-15 [Amended]
0
35. Section 200.735-15, paragraph (b), first sentence, is amended by
removing the phrase ``Administrator of each regional office'' and
adding in its place ``Regional Director of each regional office''.
PART 201--RULES OF PRACTICE
0
36. The authority citation for part 201, is revised to read as follows:
Authority: 15 U.S.C. 77s, 77sss, 78w, 78x, 80a-37, and 80b-11; 5
U.S.C. 504(c)(1).
Subpart C--Procedures Pertaining to the Payment of Bounties
Pursuant to Subsection 21A(e) of the Securities Exchange Act of
1934
0
37. The authority citation for part 201, Subpart C, continues to read
as follows:
Authority: 15 U.S.C. 78u-1 and 78w.
Sec. 201.63 [Amended]
0
38. Section 201.63, last sentence, is amended by removing ``450 Fifth
Street NW., Washington, DC 20549'' and adding in its place the phrase
``100 F Street, NE., Washington, DC 20549''.
PART 202--INFORMAL AND OTHER PROCEDURES
0
39. The authority citation for part 202 is revised to read as follows:
Authority: 15 U.S.C. 77s, 77t, 77sss, 77uuu, 78d-1, 78u, 78w,
78ll(d), 80a-37, 80a-41, 80b-9, 80b-11, 7202 and 7211 et seq.,
unless otherwise noted.
Section 202.5 is also issued under sec. 20, 48 Stat. 86, sec.
21, 48 Stat. 899, sec. 18, 49 Stat. 831, sec. 321, 53 Stat. 1174,
sec. 1, 76 Stat. 394, 15 U.S.C. 77t, 77uuu, 78d-1, 78u, 80a-4l, and
80b-9.
Section 202.9 is also issued under sec. 223, 110 Stat. 859 (Mar.
29, 1996).
Sec. 202.2 [Amended]
0
40. Section 202.2 is amended by removing the phrase ``or district''
from the last sentence.
Sec. 202.5 [Amended]
0
41. Section 202.5, paragraph (c), third sentence, is amended by
revising the phrase ``Division Director, Regional Director, or District
Administrator'' to read ``Division Director or Regional Director''.
Sec. 202.7 [Amended]
0
42. Section 202.7, paragraph (a), second sentence, is amended by
removing the phrase ``or district'', in both places it appears.
PART 203--RULES RELATING TO INVESTIGATIONS
0
43. The authority citation for part 203 is revised to read as follows:
Authority: 15 U.S.C. 77s, 77sss, 78w, 80a-37, and 80b-11, unless
otherwise noted.
Sec. 203.2 [Amended]
0
44. Section 203.2 is amended by removing the phrase ``Regional Offices
at the level of Assistant Regional Director or District Administrator
or higher'' and adding in its place ``Regional Offices at the level of
Assistant Regional Director or higher''.
Sec. 203.7 [Amended]
0
45. Section 203.7 is revised by:
0
a. In paragraph (a), second sentence, removing the phrase ``Regional or
District Offices at the level of Assistant Regional Director or
District Administrator or higher'' and adding in its place ``Regional
Offices at the level of Assistant Regional Director or higher''; and
0
b. In paragraph (e), second sentence, removing the phrase ``Sec.
201.2(e) of this chapter (Rule 2(e) of the Commission's rules of
practice),'' and adding in its place the phrase ``Sec. 201.102(e) of
this chapter (Rule 102(e) of the Commission's rules of practice),''.
PART 209--FORMS PRESCRIBED UNDER THE COMMISSION'S RULES OF PRACTICE
0
46. The authority citation for part 209 is revised to read as follows:
Authority: 15 U.S.C. 77h-1, 77u, 78u-2, 78u-3, 78v, 78w, 80a-9,
80a-37, 80a-38, 80a-39, 80a-40, 80a-41, 80a-44, 80b-3, 80b-9, 80b-
11, and 80b-12, unless otherwise noted.
Sec. 209-0,1 [Amended]
0
47. Section 209.0-1 is amended by:
0
a. Revising the phrase ``450 Fifth Street, NW., Washington, DC 20549''
to read ``100 F Street, NE., Washington, DC 20549'' in the first
sentence of paragraph (b); and
0
b. Removing the phrase ``and district'' in the second and third
sentences of paragraph (b).
PART 230--GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
0
48. The authority citation for part 230 continues to read, in part, as
follows:
Authority: 15 U.S.C. 77b, 77c, 77d, 77f, 77g, 77h, 77j, 77r,
77s, 77z-3, 77sss, 78c, 78d, 78j, 78l, 78m, 78n, 78o, 78t, 78w, 78ll
(d), 78mm, 80a-8, 80a-24, 80a-28, 80a-29, 80a-30, and 80a-37, unless
otherwise noted.
* * * * *
Sec. 230.497 [Amended]
0
49. Section 230.497, paragraph (k)(2)(ii), second sentence, is amended
by removing the phrase ``450 Fifth St., NW., Mail Stop 5-6, Washington,
DC 20549-6009'' and adding in its place the phrase ``100 F Street, NE.,
Washington, DC 20549-4720''.
PART 232--REGULATION S-T--GENERAL RULES AND REGULATIONS FOR
ELECTRONIC FILINGS
0
50. The authority citation for part 232 continues to read, in part, as
follows:
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77z-3,
77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll, 80a-8, 80a-
29, 80a-30, 80a-37, and 7201 et seq.; and 18 U.S.C. 1350.
* * * * *
Sec. 232.12 [Amended]
0
51. Section 232.12, paragraph (a), is amended by removing the phrase
``450 Fifth Street, NW., Washington, DC 20549'' and adding in its place
the phrase ``100 F Street, NE., Washington, DC 20549''.
PART 240--GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF
1934
0
52. The authority citation for part 240 continues to read, in part, as
follows:
Authority: 15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3,
77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78d, 78e, 78f, 78g, 78i,
78j, 78j-1, 78k, 78k-1, 78l, 78m, 78n, 78o, 78p, 78q, 78s, 78u-5,
78w, 78x, 78ll, 78mm, 80a-20, 80a-23, 80a-29, 80a-37, 80b-3, 80b-4,
80b-11, and 7201 et seq.; and 18 U.S.C. 1350, unless otherwise
noted.
* * * * *
Sec. 240.15b7-3T [Amended]
0
53. Section 240.15b7-3T, paragraph (c), second sentence and paragraph
(e)(2) are amended by removing the phrase ``450 Fifth Street, NW.,
Washington, DC 20549-1002'', each time that it appears, and by adding
in its place the phrase ``100 F Street, NE., Washington, DC 20549-
6628''.
Sec. 240.15c3-1 [Amended]
0
54. Section 240.15c3-1 is amended:
[[Page 32228]]
0
a. In paragraph (a)(6)(iv), second sentence, by removing the phrase
``or district'' each time it appears;
0
b. In paragraph (a)(6)(v), second sentence, by removing the phrase ``or
district'' each time it appears;
0
c. In paragraph (c)(2)(x)(C)(1), by removing the phrase ``district or''
both times it appears;
0
d. In paragraph (c)(12), by removing the phrase ``or District''; and
0
e. In paragraph (e)(1)(iv), by removing the phrase ``or district'' both
times it appears.
Sec. 240.15c3-1d [Amended]
0
55. Section 240.15c3-1d is amended by:
0
a. Removing the phrase ``or District'' in the first and fourth
sentences of paragraph (c)(6)(i) and the first sentence of paragraph
(c)(6)(ii), each time that it appears; and
0
b. Removing the phrase ``or district'' in the first sentence of
paragraphs (c)(6)(i) and (c)(6)(ii); and
0
c. Removing the authority citation at the end of the section.
0
56. Section 240.17a-3 is amended by removing the phrase ``or district''
in the first sentence of paragraph (b)(2) and the first sentence of the
legend following paragraph (b)(2).
Sec. 240.17a-5 [Amended]
0
57. Section 240.17a-5 is amended by removing the phrase ``or district''
each time that it appears in:
0
a. The first sentence of paragraph (a)(3);
0
b. The second sentence of paragraph (b)(1);
0
c. The introductory text of paragraph (c)(1);
0
d. Paragraph (c)(2)(iii);
0
e. Paragraph (c)(2)(iv);
0
f. The last sentence of paragraph (d)(1)(i);
0
g. The first sentence of paragraph (d)(6);
0
h. The last sentence of the introductory text of paragraph (e)(4);
0
i. The first sentence of paragraph (f)(2)(i);
0
j. The introductory text of paragraph (f)(4); and
0
k. Paragraph (n)(1).
Sec. 240.17a-7 [Amended]
0
58. Section 240.17a-7 is amended by removing the phrase ``or District''
in:
0
a. Paragraph (b)(1);
0
b. The first sentence of the legend following paragraph (b)(1); and
0
c. The last sentence of paragraph (b)(2).
Sec. 240.17a-11 [Amended]
0
59. Section 240.17a-11 is amended, in paragraph (g), by revising the
phrase ``regional or district office of the Commission for the region
or district'' to read ``regional office of the Commission for the
region''.
Sec. 240.17Ad-2 [Amended]
0
60. Section 240.17Ad-2 is amended by:
0
a. In paragraph (h)(1), revising the phrase ``Regional or District
Office of the Commission for the region or district'' to read
``regional office of the Commission for the region''; and
0
b. Removing the authority citation at the end of the section.
Sec. 240.17Ad-21T [Amended]
0
61. Section 240.17Ad-21T, paragraphs (c) and (e)(2), second sentences,
is amended by removing the phrase ``450 Fifth Street, NW, Washington,
DC 20549-1002'', each time that it appears, and by adding in its place
the phrase ``100 F Street, NE., Washington, DC 20549-6628''.
PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934
0
62. The authority citation for part 249 continues to read, in part, as
follows:
Authority: 15 U.S.C. 78a et seq., and 7202, 7233, 7241, 7262,
7264, and 7265; and 18 U.S.C. 1350, unless otherwise noted.
* * * * *
Sec. 249.322 [Amended]
0
63. Section 249.322 is amended by removing the phrase ``450 Fifth
Street, NW., Washington, DC 20549'' and adding in its place the phrase
``100 F Street, NE., Washington, DC 20549'', in the last sentence of
paragraph (a).
PART 249b--FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934
0
64. 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 [Amended]
0
65. Section 249b.100 is amended by removing the phrase ``450 Fifth
Street, NW, Washington, DC 20549'' and adding in its place the phrase
``100 F Street, NE., Washington, DC 20549'' and removing the phrase
``and district'' in footnote 1.
Sec. 249b.102 [Amended]
0
66. Section 249b.102 is amended by removing the phrase ``450 Fifth
Street, NW, Washington, DC 20549'' and adding in its place the phrase
``100 F Street, NE., Washington, DC 20549'' and removing the phrase
``and district'' in footnote 1.
Sec. 249b.200 [Amended]
0
67. Section 249b.200 is amended by removing the phrase ``450 Fifth
Street, NW, Washington, DC 20549'' and adding in its place the phrase
``100 F Street, NE., Washington, DC 20549'' and removing the phrase
``and district'' in footnote 1.
PART 260--GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF
1939
0
68. The authority citation for part 260 continues to read as follows:
Authority: 15 U.S.C. 77eee, 77ggg, 77nnn, 77sss, 78ll(d), 80b-3,
80b-4, and 80b-11.
Sec. 260.0-5 [Amended]
0
69. Section 260.0-5, paragraph (a), is amended by removing the phrase
``450 Fifth Street, NW., Washington, DC 20549'' and adding in its place
the phrase ``100 F Street, NE., Washington, DC 20549''.
PART 270--RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940
0
70. The authority citation for part 270 continues to read, in part, as
follows:
Authority: 15 U.S.C. 80a-1 et seq., 80a-34(d), 80a-37, and 80a-
39, unless otherwise noted.
* * * * *
Sec. 270.17f-4 [Amended]
0
71. Section 270.17f-4, paragraph (c)(1), fourth sentence, is amended by
removing the phrase ``450 5th Street, NW., Washington, DC 20549'' and
adding in its place the phrase ``100 F Street, NE., Washington, DC
20549''.
PART 274--FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
0
72. The authority citation for part 274 continues to read, in part, as
follows:
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 78c(b), 78l, 78m,
78n, 78o(d), 80a-8, 80a-24, 80a-26, and 80a-29, unless otherwise
noted.
* * * * *
Sec. 274.0-1 [Amended]
0
73. Section 274.0-1 is amended, in paragraph (b), by removing the
phrase ``450 Fifth Street, NW., Washington, DC 20549'' and adding in
its place the phrase ``100 F Street, NE., Washington, DC 20549'' in the
first sentence, and removing the phrase ``and district'' in the second
and third sentences.
[[Page 32229]]
PART 275--RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
0
74. The authority citation for part 275 continues to read, in part, as
follows:
Authority: 15 U.S.C. 80b-2(a)(11)(G), 80b-2(a)(17), 80b-3, 80b-
4, 80b-4a, 80b-6(4), 80b-6a, and 80b-11, unless otherwise noted.
* * * * *
Sec. 275.204-2 [Amended]
0
75. Section 275.204-2 is amended by removing the phrase ``or District''
in
0
a. The first sentence of paragraph (j)(3)(i);
0
b. The first sentence of the legend following paragraph (j)(3)(i); and
0
c. The last sentence of paragraph (j)(3)(ii).
PART 279--FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF
1940
0
76. 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]
0
77. Section 279.0-1 is amended, in paragraph (b), by removing the
phrase ``450 Fifth Street, NW., Washington, DC 20549'' and adding in
its place the phrase ``100 F Street, NE., Washington, DC 20549'' in the
first sentence, and removing the phrase ``and district'', in the second
and third sentences.
Dated: May 28, 2008.
By the Commission.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8-12244 Filed 6-4-08; 8:45 am]
BILLING CODE 8010-01-P
