17 C.F.R. § 240.15b9-2

Current through September 30, 2024

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

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.

17 C.F.R. §240.15b9-2

63 FR 59397, Nov. 3, 1998