17 C.F.R. § 270.17a-4
Current through October 31, 2024
Transactions pursuant to a contract shall be exempt from section 17(a) of the Act if at the time of the making of the contract and for a period of at least six months prior thereto no affiliation or other relationship existed which would operate to make such contract or the subsequent performance thereof subject to the provisions of said section 17(a).
17 C.F.R. §270.17a-4