17 C.F.R. § 240.11a1-6 Transactions for certain accounts of OTC derivatives dealers.
Title 17 - Commodity and Securities Exchanges
A transaction effected by a member of a national securities exchange for the account of an OTC derivatives dealer that is an associated person of that member shall be deemed to be of a kind that is consistent with the purposes of section 11(a)(1) of the Act (15 U.S.C. 78k(a)(1)), the protection of investors, and the maintenance of fair and orderly markets if, assuming such transaction were for the account of a member, the member would have been permitted, under section 11(a) of the Act and the other rules thereunder (with the exception of §240.11a1–2), to effect the transaction. [63 FR 59396, Nov. 3, 1998]
Title 17: Commodity and Securities Exchanges
PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934
Adoption of Floor Trading Regulation (Rule 11a–1)
§ 240.11a1-6 Transactions for certain accounts of OTC derivatives dealers.
