Browse: Departments Dates Agencies
SECURITIES AND EXCHANGE COMMISSION
Treasury Department
CFR Citation: 17 CFR Parts 200, 201, 202, 203, 209, 230, 232, 240, 249, 249b,
DOCUMENT ID: [Release No. 34-57877]
NOTICE: Part III
DOCUMENT ACTION: Final rule amendments.
SUBJECT CATEGORY: Regional Office Reorganization
DATES: Effective Date: June 5, 2008.
DOCUMENT 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.
SUMMARY: Securities and Exchange Commission,
SUPPLEMENTAL 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. 200759 (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 nonagency 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. 60112.
\5\ 44 U.S.C. 350120.
III. CostBenefit 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 nonagency 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, 78d1, 78w, 80a37, 80b11, 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.
In accordance with the foregoing, 17 CFR, Chapter II of the Code of Federal Regulations is amended as follows:
PART 200ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
Subpart AOrganization and Program Management
1. The authority citation for part 200, subpart A, is amended by revising the following subauthorities to read as follows:
Authority: 15 U.S.C. 77o, 77s, 77sss, 78d, 78d1, 78d2, 78w, 78ll(d), 78mm, 80a37, 80b11, and 7202, unless otherwise noted.
Sections 200.27 and 200.306 are also issued under 15 U.S.C. 77e, 77f, 77g, 77h, 77j, 77q, 77u, 78e, 78g, 78h, 78i, 78k, 78m, 78o, 78o4, 78q, 78q1, 78t1, 78u, 77hhh, 77uuu, 80a41, 80b5, and 80b9.
* * * * *
Section 200.303 is also issued under 15 U.S.C. 78b, 78d, 78f, 78k1, 78q, 78s, and 78eee.
* * * * *
2. Section 200.11 is revised to read as follows:
Sec. 200.11 Headquarters OfficeRegional Office relationships.
(a)(1) Division and Office Heads in the Headquarters Office (100 F
Street, NE., Washington, DC 20549) have Commissionwide 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 TennesseeRegional Director, 3475 Lenox Road, NE., Suite 1000, Atlanta, GA 303261232.
Boston Regional Office: Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and VermontRegional Director, 33 Arch Street, 23rd Floor, Boston, MA 021101424.
Chicago Regional Office: Kentucky, Illinois, Indiana, Iowa, Michigan, Minnesota, Missouri, Ohio, and WisconsinRegional Director, 175 West Jackson Boulevard, Suite 900, Chicago, IL 606042908.
Denver Regional Office: Colorado, Kansas, Nebraska, New Mexico, North Dakota, South Dakota, and WyomingRegional Director, 1801 California Street, Suite 1500, Denver, CO 802022656.
Fort Worth Regional Office: Arkansas, Kansas (for certain
purposes), Oklahoma, and TexasRegional Director, Burnett Plaza, Suite
1900, 801 Cherry Street, Unit
Los Angeles Regional Office: Arizona, Southern California (zip codes 93599 and below, except 9320093299), Guam, Hawaii, and Nevada Regional Director, 5670 Wilshire Boulevard, 11th Floor, Los Angeles, CA 900363648.
Miami Regional Office: Florida, Louisiana, Mississippi, Puerto Rico, and the Virgin IslandsRegional Director, 801 Brickell Avenue, Suite 1800, Miami, FL 331314901.
New York Regional Office: New York and New JerseyRegional Director, 3 World Financial Center, Suite 400, New York, NY 102811022.
Philadelphia Regional Office: Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, and West VirginiaRegional Director, 701 Market Street, Suite 2000, Philadelphia, PA 191061532.
Salt Lake City Regional Office: UtahRegional Director, 15 W. South Temple Street, Suite 1800, Salt Lake City, UT 841011573.
San Francisco Regional Office: Alaska, Northern California (zip
codes 93600 and up, plus 9320093299), Idaho, Montana, Oregon, and
WashingtonRegional Director, 44 Montgomery Street, Suite 2600, San Francisco, CA 941044716.
(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]
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]
4. Section 200.21a, paragraph (b)(2), is amended by removing the phrase ``District Administrators,''.
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 overthecounter
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. 240.17a5 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]
6. Section 200.27a is removed.
Sec. 200.28 [Amended]
7. Section 200.28, paragraph (a), is amended by removing the phrase
``Regional Administrators'' and adding in its place ``Regional Directors''.
Sec. 200.306a [Removed]
8. Section 200.306a is removed.
Sec. 200.3011 [Amended]
9. Section 200.3011, paragraph (c)(2), is amended by removing the
phrase ``or district'' and by removing the authority citation following the section.
Subpart DInformation and Requests
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, 80a37, 80a44(a), 80a44(b), 80b 10(a), and 80b11.
* * * * *
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,'';
b. Revising paragraph (c)(1);
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''; d. In paragraph (d)(1):
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'';
ii. In the second sentence, revising the phrase ``reference facilities'' to read ``reference facility''; and
iii. In the last sentence, revising the phrase ``Operations Center,
6432 General Green Way, Alexandria, VA 223122413. The request may also
be made by facsimile (7039141149) or by Internet'' to read ``100 F
Street, NE., Washington, DC 20549. The request may also be made by facsimile (2027729337) or by Internet'';
e. In paragraphs (d)(2) and (d)(4), first sentence, revising the phrase ``reference facilities'' to read ``reference facility'';
f. In paragraph (d)(2), first sentence, removing the word
``appropriate'';
g. Revising paragraph (d)(6)(ii);
h. In paragraph (d)(7)(i) in the third and fourth sentences, removing the phrase ``or district'';
i. In the introductory text of paragraph (e), second sentence, removing the phrase ``or district'';
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'';
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'';
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
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'';
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 selfservice or contractoroperated 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 Office3475 Lenox Road, NE., Suite 1000, Atlanta, GA 303261232. Office hours9 a.m. to 5:30 p.m. E.T.
Boston Regional Office33 Arch Street, 23rd Floor, Boston, MA 021101424. Office hours9 a.m. to 5:30 p.m. E.T.
Chicago Regional Office175 West Jackson Boulevard, Suite 900, Chicago, IL 606042908. Office hours8:45 a.m. to 5:15 p.m. C.T.
Denver Regional Office1801 California Street, Suite 1500, Denver, CO 802022656. Office hours8 a.m. to 4:30 p.m. M.T.
Fort Worth Regional OfficeBurnett Plaza, Suite 1900, 801 Cherry
Street, Unit
Los Angeles Regional Office5670 Wilshire Boulevard, 11th Floor, Los Angeles, CA 900363648. Office hours8:30 a.m. to 5 p.m. P.T.
Miami Regional Office801 Brickell Avenue, Suite 1800, Miami, FL 331314901. Office hours9 a.m. to 5:30 p.m. E.T.
New York Regional Office3 World Financial Center, Suite 400, New York, NY 102811022. Office hours9 a.m. to 5:30 p.m. E.T.
Philadelphia Regional Office701 Market Street, Suite 2000, Philadelphia, PA 191061532. Office hours9 a.m. to 5:30 p.m. E.T.
Salt Lake City Regional Office15 W. South Temple Street, Suite 1800, Salt Lake City, UT 841011573. Office hours8 a.m. to 4:30 p.m. M.T.
San Francisco Regional Office44 Montgomery Street, Suite 2600,
San Francisco, CA 941044716. Office hours8:30 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]
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 2022723100'' and adding in its place ``100 F Street, NE., Washington, DC 20549 or calling 2025518090''.
Sec. 200.83 [Amended]
1314. Section 200.83 is amended by
a. Removing the phrase ``Operations Center, 6432 General Green Way,
Alexandria, VA 223122413'', 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
b. In paragraph (e)(2) by removing the phrase ``Operations Center, 6432
General Green Way, Alexandria, VA 223122413, or by facsimile (703914
1149)'' and adding in its place the phrase ``100 F Street, NE.,
Washington, DC 20549, or by facsimile (2027729337)'', 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 GPlan of Organization and Operation Effective During Emergency Conditions
15. The authority citation for part 200, subpart G, continues to read as follows:
Authority: 15 U.S.C. 77s, 78d, 78d1, 78w, 77sss, 80a37, 80b 11; Reorganization Plan No. 10 of 1950 (15 U.S.C. 78d nt).
Sec. 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''.
Sec. 200.203 [Amended]
17. In Sec. 200.203 paragraph (c)(1)(v) is removed.
Sec. 200.204 [Amended]
18. Section 200.204 is amended by removing the phrase ``and District Administrators''.
Subpart HRegulations 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:
Authority: 5 U.S.C. 552a(f), unless otherwise noted. * * * * *
20. Section 200.303 is amended by:
a. Revising the phrase ``Privacy Act Officer, SEC, Operations Center,
6432 General Green Way, Alexandria, VA 223122413, or by facsimile
(7039141149)'' 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 (2027729337)'';
b. Revising paragraph (a)(2); and
c. Revising the phrase ``Office of Freedom of Information and Privacy
Act Operations, SEC, Operations Center, 6432 General Green Way,
Alexandria, VA 223122413, 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 Office3475 Lenox Road, NE., Suite 1000, Atlanta, GA 303261232. Office hours9 a.m. to 5:30 p.m. E.T.
Boston Regional Office33 Arch Street, 23rd Floor, Boston, MA 021101424. Office hours9 a.m. to 5:30 p.m. E.T.
Chicago Regional Office175 West Jackson Boulevard, Suite 900, Chicago, IL 606042908. Office hours8:45 a.m. to 5:15 p.m. C.T.
Denver Regional Office1801 California Street, Suite 1500, Denver, CO 802022656. Office hours8 a.m. to 4:30 p.m. M.T.
Fort Worth Regional OfficeBurnett Plaza, Suite 1900, 801 Cherry
Street, Unit
Los Angeles Regional Office5670 Wilshire Boulevard, 11th Floor, Los Angeles, CA 900363648. Office hours8:30 a.m. to 5 p.m. P.T.
Miami Regional Office801 Brickell Avenue, Suite 1800, Miami, FL 331314901. Office hours9 a.m. to 5:30 p.m. E.T.
New York Regional Office3 World Financial Center, Suite 400, New York, NY 102811022. Office hours9 a.m. to 5:30 p.m. E.T.
Philadelphia Regional Office701 Market Street, Suite 2000, Philadelphia, PA 191061532. Office hours9 a.m. to 5:30 p.m. E.T.
Salt Lake City Regional Office15 W. South Temple Street, Suite 1800, Salt Lake City, UT 841011573. Office hours8 a.m. to 4:30 p.m. M.T.
San Francisco Regional Office44 Montgomery Street, Suite 2600, San Francisco, CA 941044716. Office hours8:30 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]
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 JClassification and Declassification of National Security Information and Material
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]
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]
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 KRegulations Pertaining to the Protection of the
Environment
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]
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 LEnforcement 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:
Authority: 29 U.S.C. 794.
Sec. 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''.
Subpart MRegulation 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:
Authority: 15 U.S.C. 77s, 77sss, 78w, 80a37, 80b11; E.O.
11222, 3 CFR, 19641965 Comp., p.36; 5 CFR 735.104, unless otherwise noted.
Sec. 200.7353 [Amended]
30. Section 200.7353 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
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. 200.7354 [Amended]
31. Section 200.7354 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
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. 200.7355 [Amended]
32. Section 200.7355, 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
b. In the second sentence of paragraph (f)(2), removing the phrase
``Regional Administrators'' and adding in its place the phrase ``Regional Directors''.
Sec. 200.7356 [Amended]
33. Section 200.7356 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
b. In the second sentence, removing the phrase ``Regional
Administrators'' and adding in its place the phrase ``Regional Directors''.
34. Section 200.73511 is amended by revising paragraph (c)(2)(v) to read as follows:
[[Page 32227]]
Sec. 200.73511 Statement of employment and financial interests. * * * * *
(c) * * *
(2) * * *
(v) Regional Offices
(A) Directors
(B) Associate Directors
(C) Assistant Directors
* * * * *
Sec. 200.73515 [Amended]
35. Section 200.73515, 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 201RULES OF PRACTICE
36. The authority citation for part 201, is revised to read as follows:
Authority: 15 U.S.C. 77s, 77sss, 78w, 78x, 80a37, and 80b11; 5 U.S.C. 504(c)(1).
Subpart CProcedures 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:
Authority: 15 U.S.C. 78u1 and 78w.
Sec. 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''.
PART 202INFORMAL AND OTHER PROCEDURES
39. The authority citation for part 202 is revised to read as follows:
Authority: 15 U.S.C. 77s, 77t, 77sss, 77uuu, 78d1, 78u, 78w, 78ll(d), 80a37, 80a41, 80b9, 80b11, 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, 78d1, 78u, 80a4l, and 80b9.
Section 202.9 is also issued under sec. 223, 110 Stat. 859 (Mar. 29, 1996).
Sec. 202.2 [Amended]
40. Section 202.2 is amended by removing the phrase ``or district'' from the last sentence.
Sec. 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 read ``Division Director or Regional Director''. Sec. 202.7 [Amended]
42. Section 202.7, paragraph (a), second sentence, is amended by
removing the phrase ``or district'', in both places it appears. PART 203RULES RELATING TO INVESTIGATIONS
43. The authority citation for part 203 is revised to read as follows:
Authority: 15 U.S.C. 77s, 77sss, 78w, 80a37, and 80b11, unless otherwise noted.
Sec. 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''.
Sec. 203.7 [Amended]
45. Section 203.7 is revised by:
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
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 209FORMS PRESCRIBED UNDER THE COMMISSION'S RULES OF PRACTICE
46. The authority citation for part 209 is revised to read as follows:
Authority: 15 U.S.C. 77h1, 77u, 78u2, 78u3, 78v, 78w, 80a9, 80a37, 80a38, 80a39, 80a40, 80a41, 80a44, 80b3, 80b9, 80b
11, and 80b12, unless otherwise noted.
Sec. 2090,1 [Amended]
47. Section 209.01 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
b. Removing the phrase ``and district'' in the second and third sentences of paragraph (b).
PART 230GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
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, 77z3, 77sss, 78c, 78d, 78j, 78l, 78m, 78n, 78o, 78t, 78w, 78ll
(d), 78mm, 80a8, 80a24, 80a28, 80a29, 80a30, and 80a37, unless otherwise noted.
* * * * *
Sec. 230.497 [Amended]
49. Section 230.497, paragraph (k)(2)(ii), second sentence, is amended
by removing the phrase ``450 Fifth St., NW., Mail Stop 56, Washington,
DC 205496009'' and adding in its place the phrase ``100 F Street, NE., Washington, DC 205494720''.
PART 232REGULATION STGENERAL RULES AND REGULATIONS FOR
ELECTRONIC FILINGS
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), 77z3,
77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll, 80a8, 80a 29, 80a30, 80a37, and 7201 et seq.; and 18 U.S.C. 1350.
* * * * *
Sec. 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''.
PART 240GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
52. The authority citation for part 240 continues to read, in part, as follows:
Authority: 15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z2, 77z3,
77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78d, 78e, 78f, 78g, 78i,
78j, 78j1, 78k, 78k1, 78l, 78m, 78n, 78o, 78p, 78q, 78s, 78u5,
78w, 78x, 78ll, 78mm, 80a20, 80a23, 80a29, 80a37, 80b3, 80b4,
80b11, and 7201 et seq.; and 18 U.S.C. 1350, unless otherwise noted.
* * * * *
Sec. 240.15b73T [Amended]
53. Section 240.15b73T, paragraph (c), second sentence and paragraph
(e)(2) are amended by removing the phrase ``450 Fifth Street, NW.,
Washington, DC 205491002'', each time that it appears, and by adding
in its place the phrase ``100 F Street, NE., Washington, DC 20549 6628''.
Sec. 240.15c31 [Amended]
54. Section 240.15c31 is amended:
[[Page 32228]]
a. In paragraph (a)(6)(iv), second sentence, by removing the phrase ``or district'' each time it appears;
b. In paragraph (a)(6)(v), second sentence, by removing the phrase ``or district'' each time it appears;
c. In paragraph (c)(2)(x)(C)(1), by removing the phrase ``district or'' both times it appears;
d. In paragraph (c)(12), by removing the phrase ``or District''; and
e. In paragraph (e)(1)(iv), by removing the phrase ``or district'' both times it appears.
Sec. 240.15c31d [Amended]
55. Section 240.15c31d is amended by:
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
b. Removing the phrase ``or district'' in the first sentence of paragraphs (c)(6)(i) and (c)(6)(ii); and
c. Removing the authority citation at the end of the section.
56. Section 240.17a3 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. 240.17a5 [Amended]
57. Section 240.17a5 is amended by removing the phrase ``or district'' each time that it appears in:
a. The first sentence of paragraph (a)(3);
b. The second sentence of paragraph (b)(1);
c. The introductory text of paragraph (c)(1);
d. Paragraph (c)(2)(iii);
e. Paragraph (c)(2)(iv);
f. The last sentence of paragraph (d)(1)(i);
g. The first sentence of paragraph (d)(6);
h. The last sentence of the introductory text of paragraph (e)(4); i. The first sentence of paragraph (f)(2)(i);
j. The introductory text of paragraph (f)(4); and
k. Paragraph (n)(1).
Sec. 240.17a7 [Amended]
58. Section 240.17a7 is amended by removing the phrase ``or District'' in:
a. Paragraph (b)(1);
b. The first sentence of the legend following paragraph (b)(1); and c. The last sentence of paragraph (b)(2).
Sec. 240.17a11 [Amended]
59. Section 240.17a11 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. 240.17Ad2 [Amended]
60. Section 240.17Ad2 is amended by:
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
b. Removing the authority citation at the end of the section. Sec. 240.17Ad21T [Amended]
61. Section 240.17Ad21T, paragraphs (c) and (e)(2), second sentences,
is amended by removing the phrase ``450 Fifth Street, NW, Washington,
DC 205491002'', each time that it appears, and by adding in its place
the phrase ``100 F Street, NE., Washington, DC 205496628''. PART 249FORMS, SECURITIES EXCHANGE ACT OF 1934
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]
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 249bFURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934
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]
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]
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]
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 260GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939
68. The authority citation for part 260 continues to read as follows:
Authority: 15 U.S.C. 77eee, 77ggg, 77nnn, 77sss, 78ll(d), 80b3, 80b4, and 80b11.
Sec. 260.05 [Amended]
69. Section 260.05, 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 270RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940
70. The authority citation for part 270 continues to read, in part, as follows:
Authority: 15 U.S.C. 80a1 et seq., 80a34(d), 80a37, and 80a 39, unless otherwise noted.
* * * * *
Sec. 270.17f4 [Amended]
71. Section 270.17f4, 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 274FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
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), 80a8, 80a24, 80a26, and 80a29, unless otherwise noted.
* * * * *
Sec. 274.01 [Amended]
73. Section 274.01 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 275RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
74. The authority citation for part 275 continues to read, in part, as follows:
Authority: 15 U.S.C. 80b2(a)(11)(G), 80b2(a)(17), 80b3, 80b
4, 80b4a, 80b6(4), 80b6a, and 80b11, unless otherwise noted. * * * * *
Sec. 275.2042 [Amended]
75. Section 275.2042 is amended by removing the phrase ``or District'' in
a. The first sentence of paragraph (j)(3)(i);
b. The first sentence of the legend following paragraph (j)(3)(i); and c. The last sentence of paragraph (j)(3)(ii).
PART 279FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF 1940
76. The authority citation for part 279 continues to read as follows:
Authority: The Investment Advisers Act of 1940, 15 U.S.C. 80b1 et seq.
Sec. 279.01 [Amended]
77. Section 279.01 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. E812244 Filed 6408; 8:45 am]
BILLING CODE 801001P
FOR FURTHER INFORMATION CONTACT Stephen Jung, (202) 551-5162, Assistant General Counsel, Office of the General Counsel; Michael Bloise, (202) 5515116, Senior Counsel, Office of the General Counsel, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549.
Common CFR Searches
14 CFR Part 39 40 CFR Part 52 14 CFR Part 71 33 CFR Part 165 50 CFR Part 679 26 CFR Part 1 40 CFR Part 180 47 CFR Part 73 50 CFR Part 17 33 CFR Part 117 44 CFR Part 67 50 CFR Part 648 14 CFR Part 97 33 CFR Part 100 40 CFR Part 63 50 CFR Part 622 26 CFR Part 301 39 CFR Part 111 40 CFR Part 300 50 CFR Part 660 44 CFR Part 65 40 CFR Parts 52 and 81 40 CFR Part 271 47 CFR Part 64 50 CFR Part 665 47 CFR Part 76 50 CFR Part 229 14 CFR Part 23 14 CFR Part 25 21 CFR Part 522