1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
  5. Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934
  6. Topic - Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants
  7. 17 CFR § 240.16a-10
17 CFR § 240.16a-10
Exemptions under section 16(a)
April 15, 2021
CFR

Except as provided in §240.16a-6, any transaction exempted from the requirements of section 16(a) of the Act, insofar as it is otherwise subject to the provisions of section 16(b), shall be likewise exempt from section 16(b) of the Act.

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§ 240.16a-9 Stock splits, stock dividends, and pro rata rights
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§ 240.16a-11 Dividend or interest reinvestment plans

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