17 C.F.R. § 270.17a-1

Current through September 30, 2024

Section 270.17a-1 - Exemption of certain underwriting transactions exempted by Section 270.10f-1

Any transaction exempted pursuant to § 270.10f-1 shall be exempt from the provisions of section 17(a)(1) of the Act (54 Stat. 815; 15 U.S.C. 80a-17 ) .

17 C.F.R. §270.17a-1

Rule N-17A-1, 6 FR 1191, Feb. 28, 1941