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17 CFR 240.16c-1

§ 240.16c-1 Brokers.

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

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17 CFR 240.16c-1, § 240.16c-1 Brokers, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/69332
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Full text

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.

Legislative history

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