17 C.F.R. § 260.4d-11 – Exemption for security-based swaps offered and sold in reliance on Rule 239 under the Securities Act of 1933 (17 CFR 230.239). | Midpage
§ 260.4d-11
17 C.F.R. § 260.4d-11
Exemption for security-based swaps offered and sold in reliance on Rule 239 under the Securities Act of 1933 (17 CFR 230.239).
Effective Dec 31, 2016Published Apr 5, 201277 FR 20549
Any security-based swap offered and sold in reliance on Rule 239 under the Securities Act of 1933 (17 CFR 230.239), whether or not issued under an indenture, is exempt from the Act.