17 CFR 240.11a1-4(T)
§ 240.11a1-4(T) Bond transactions on national securities exchanges.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 240.11a1-4(T), § 240.11a1-4(T) Bond transactions on national securities exchanges, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/68988
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Full text
A transaction in a bond, note, debenture, or other form of indebtedness effected on a national securities exchange by a member for its own account or the account of an associated person thereof shall be deemed to be of a kind which is consistent with the purposes of section 11(a)(1) of the Act, the protection of investors, and the maintenance of fair and orderly markets.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.