§ 240.12a-9. Exemption of standardized options from section 12(a) of the Act.

64 words·~1 min read·/us/cfr/t17/s§ 240.12a-9·

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The provisions of section 12(a) of the Act (15 U.S.C. 78l(a)) do not apply in respect of any standardized option, as defined by section 240.9b-1(a)(4), issued by a clearing agency registered under section 17A of the Act (15 U.S.C. 78q-1) and traded on a national securities exchange registered pursuant to section 6(a) of the Act (15 U.S.C. 78f(a)). \[68 FR 192, Jan. 2, 2003\]

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U.S. Code

Registration requirements for securities
§ 78l
National system for clearance and settlement of securities transactions
§ 78q–1
National securities exchanges
§ 78f

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§ 240.12a-9

Exemption of standardized options from section 12(a) of the Act.

U.S.C.§ 78l

U.S.C.§ 78q–1

U.S.C.§ 78f

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