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
REGISTRATION OF BROKERS AND DEALERS
Section 240.15b9-2 - Exemption from SRO membership for OTC derivatives dealers

17 C.F.R. § 240.15b9-2

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Section 240.15b9-2 - Exemption from SRO membership for OTC derivatives dealers

An OTC derivatives dealer, as defined in § 240.3b-12 , shall be exempt from any requirement under section 15(b)(8) of the Act (15 U.S.C. 78o(b)(8) ) to become a member of a registered national securities association.

17 C.F.R. §240.15b9-2

63 FR 59397, Nov. 3, 1998