Statutes, codes, and regulations
Code of Federal Regulations
Title 17 - COMMODITY AND SECURITIES EXCHANGESChapter II - SECURITIES AND EXCHANGE COMMISSIONPart 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934Subpart A - RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934
EXEMPTION OF CERTAIN SECURITIES FROM SECTION 11(D)(1)
Section 240.11d2-1 - Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts

17 C.F.R. § 240.11d2-1

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Current through October 31, 2024
Section 240.11d2-1 - Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts

A broker or dealer registered pursuant to section 15(b)(1) of the Act (15 U.S.C. 78 o(b)(1)) that is also a futures commission merchant registered pursuant to section 4f(a)(1) of the Commodity Exchange Act (7 U.S.C. 6f(a)(1) ), to the extent that it effects transactions for customers in security futures products in a futures account (as that term is defined in § 240.15c 3-3(a)(15)), is exempt from section 11(d)(2) of the Act (15 U.S.C. 78 k(d)(2)).

17 C.F.R. §240.11d2-1

67 FR 58313 , Sept. 13, 2002