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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
SECURITIES EXEMPTED FROM REGISTRATION
Section 240.12a-11 - Exemption of security-based swaps sold in reliance on Securities Act of 1933 Rule 240 ( Section 230.240) from section 12(a) of the Act

17 C.F.R. § 240.12a-11

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Current through May 31, 2024
Section 240.12a-11 - Exemption of security-based swaps sold in reliance on Securities Act of 1933 Rule 240 ( Section 230.240) from section 12(a) of the Act
(a) The provisions of Section 12(a) of the Act (15 U.S.C. 78l(a) ) do not apply to any security-based swap offered and sold in reliance on § 230.240 of this chapter.
(b) This section will expire on February 11, 2018.

17 C.F.R. §240.12a-11

82 FR 10707, Feb. 15, 2017
82 FR 10707, 2/15/2017