§ 240.12a-11 Exemption of security-based swaps sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240) from section 12(a) of the Act.  


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  • (a) The provisions of Section 12(a) of the Act (15 U.S.C. 78l(a)) do not apply to any security-based swap offered and sold in reliance on §230.240 of this chapter.

    (b) This section will expire on February 11, 2018.

    [82 FR 10707, Feb. 15, 2017]

[82 FR 10707, Feb. 15, 2017