Exemption of Certain Securities from Section 11(D)(1)

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. General Rules and Regulations, Securities Exchange Act of 1934
  6. Rules and Regulations Under the Securities Exchange Act of 1934
  7. Exemption of Certain Securities from Section 11(D)(1)

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Section
240.11d1-1

Exemption of certain securities from section 11(d)(1).

Section
240.11d1-2

Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts.

Section
240.11d2-1

Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts.