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Title 17 Part 240 → Subpart A → §240.11a1-4(t)

Title 17 → Chapter II → Part 240 → Subpart A → §240.11a1-4(t)

Electronic Code of Federal Regulations e-CFR

Title 17 Part 240 → Subpart A → §240.11a1-4(t)

e-CFR data is current as of August 22, 2019

Title 17Chapter IIPart 240Subpart A → §240.11a1-4(t)


Title 17: Commodity and Securities Exchanges
PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934


§240.11a1-4(T)   Bond transactions on national securities exchanges.

A transaction in a bond, note, debenture, or other form of indebtedness effected on a national securities exchange by a member for its own account or the account of an associated person thereof shall be deemed to be of a kind which is consistent with the purposes of section 11(a)(1) of the Act, the protection of investors, and the maintenance of fair and orderly markets.

(Secs. 2, 3, 6, 10, 11, 11A, 15 and 23 of the Securities Exchange Act of 1934 (15 U.S.C. 78b, 78c, 78f, 78j, 78k, 78k-1, 78o, and 78w))

[43 FR 18562, May 1, 1978]