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 - Exemption of Certain Transactions From Section 16(c)
  7. 17 CFR § 240.16c-1
17 CFR § 240.16c-1
Brokers
April 15, 2021
CFR

Any transaction shall be exempt from section 16(c) of the Act to the extent necessary to render lawful the execution by a broker of an order for an account in which the broker has no direct or indirect interest.

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§ 240.16c-2 Transactions effected in connection with a distribution

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