GroundRules
17 CFR 240.16c-1: c-1 Brokers.
Where this section sits in the code
- Title 17—Commodity and Securities Exchanges
- CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
- PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
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.
Collected 2026-08-27T02:24:31Z. Source file · JSON