Code · CFR · Title 17 — Commodity and Securities Exchanges · Part 240 — General Rules and Regulations, Securities Exchange Act of 1934 · § 240.15b9-2

§ 240.15b9-2. Exemption from SRO membership for OTC derivatives dealers.

40 words·~1 min read·/us/cfr/t17/s§ 240.15b9-2·

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An OTC derivatives dealer, as defined in § 240.3b-12, shall be exempt from any requirement under section 15(b)(8) of the Act (15 U.S.C. 78o(b)(8)) to become a member of a registered national securities association. \[63 FR 59397, Nov. 3, 1998\]

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U.S. Code

Registration and regulation of brokers and dealers
§ 78o

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§ 240.15b9-2

Exemption from SRO membership for OTC derivatives dealers.

U.S.C.§ 78o

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