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17 CFR 240.15b9-2

§ 240.15b9-2 Exemption from SRO membership for OTC derivatives dealers.

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

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17 CFR 240.15b9-2, § 240.15b9-2 Exemption from SRO membership for OTC derivatives dealers, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/69195
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Full text

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.

Legislative history

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