17 CFR 200.735-5 - Securities transactions.

Regulations last checked for updates: Nov 25, 2024

Title 17 - Commodity and Securities Exchanges last revised: Nov 19, 2024

View all text of Subpart M [§ 200.735-1 - § 200.735-18]

§ 200.735-5 - Securities transactions.

Securities transactions by members and employees must comply with the provisions of 5 CFR 4401.102 (Prohibited and restricted financial interests and transactions).

[75 FR 42277, July 20, 2010]

authority: 5 U.S.C. 552,552a,552b,and; 11 U.S.C. 901 and 1109(a); 15 U.S.C. 77c,77e,77f,77g,77h,77j,77o,77q,77s,77u,77z,77ggg(a),77hhh,77sss,77uuu,78b,78c,78d,78d-1,78d-2,78e,78f,78g,78h,78i,78k,78k-1,78

source: 25 FR 6719, July 15, 1960, unless otherwise noted.

cite as: 17 CFR 200.735-5