1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 270 - RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940
  5. 17 CFR § 270.17a-1
17 CFR § 270.17a-1
Exemption of certain underwriting transactions exempted by §270.10f-1
April 15, 2021
CFR

Any transaction exempted pursuant to §270.10f-1 shall be exempt from the provisions of section 17(a)(1) of the Act (54 Stat. 815; 15 U.S.C. 80a-17).

[Rule N-17A-1, 6 FR 1191, Feb. 28, 1941]

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§ 270.16a-1 Exemption for initial period of directors of certain registered accounts from requirements of election by security holders
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§ 270.17a-2 Exemption of certain purchase, sale, or borrowing transactions

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