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

Regulations last checked for updates: May 02, 2024

Title 17 - Commodity and Securities Exchanges last revised: Apr 29, 2024

View all text of Part 240 [§ 240.0-1 - § 240.36a1-2]

§ 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.

[63 FR 59397, Nov. 3, 1998]

authority: 15 U.S.C. 77c,77d,77g,77j,77s,77z,77z,77eee,77ggg,77nnn,77sss,77ttt,78c,78c-3,78c-5,78d,78e,78f,78g,78i,78j,78j-1,78j-4,78k,78k-1,78

cite as: 17 CFR 240.15b9-2