GroundRules
17 CFR 230.150: Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.
Where this section sits in the code
- Title 17—Commodity and Securities Exchanges
- CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
- PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
The term commission or other remuneration in section 3(a)(9) of the Act shall not include payments made by the issuer, directly or indirectly, to its security holders in connection with an exchange of securities for outstanding securities, when such payments are part of the terms of the offer of exchange.
Collected 2026-08-27T02:24:31Z. Source file · JSON