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17 CFR 200.735-5

§ 200.735-5 Securities transactions.

United States · 17 CFR — Commodity and Securities Exchanges · Status: effective

Business & Commerce
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17 CFR 200.735-5, § 200.735-5 Securities transactions, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/68009
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Full text

Securities transactions by members and employees must comply with the provisions of 5 CFR 4401.102 (Prohibited and restricted financial interests and transactions).

Legislative history

This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.