General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 11d2-1 -- Exemption from Section 11(d)(2) for Certain Broker-Dealers Effecting
Transactions for Customers Security Futures Products in Futures Accounts
A broker or dealer registered pursuant to section
15(b)(1) of the Act that is also a futures commission merchant registered
pursuant to section 4f(a)(1) of the Commodity Exchange Act (7 U.S.C. 6f(a)(1)),
to the extent that it effects transactions for customers in security futures products
in a futures account (as that term is defined in Rule
15c3-3(a)(15)), is exempt from section 11(d)(2)
of the Act.
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