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 of Brokers and Dealers
  7. 17 CFR § 240.15b9-2
17 CFR § 240.15b9-2
Exemption from SRO membership for OTC derivatives dealers
April 15, 2021
CFR

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]

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§ 240.15b9-1 Exemption for certain exchange members
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§ 240.15b11-1 Registration by notice of security futures product broker-dealers

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