1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 200 - ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
  5. Subpart M - Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission
  6. 17 CFR § 200.735-5
17 CFR § 200.735-5
Securities transactions
April 15, 2021
CFR

Securities transactions by members and employees must comply with the provisions of 5 CFR 4401.102 (Prohibited and restricted financial interests and transactions).

[75 FR 42277, July 20, 2010]

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§ 200.735-4 Outside employment and activities
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§ 200.735-6 Action in case of personal interest

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