240.11d2-1—Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts.

A broker or dealer registered pursuant to section 15(b)(1) of the Act (15 U.S.C. 78 o (b)(1)) that is also a futures commission merchant registered pursuant to section 4f(a)(1) of the Commodity Exchange Act (7 U.S.C. 6f(a)(1) ), to the extent that it effects transactions for customers in security futures products in a futures account (as that term is defined in § 240.15c3-3(a)(15) ), is exempt from section 11(d)(2) of the Act (15 U.S.C. 78k(d)(2) ).

Code of Federal Regulations

[67 FR 58313, Sept. 13, 2002]

CFR

240.11d2-1—Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts.

Code of Federal Regulations