CFR > Title 17 - Commodity and Securities Exchanges > CHAPTER II—SECURITIES AND EXCHANGE COMMISSION > PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 > SUBPART A—Rules and Regulations Under the Securities Exchange Act of 1934 (§240.0-1 to §240.12a-9) > 240.11a1-4(T)—Bond transactions on national securities exchanges.

240.11a1-4(T)—Bond transactions on national securities exchanges.

A transaction in a bond, note, debenture, or other form of indebtedness effected on a national securities exchange by a member for its own account or the account of an associated person thereof shall be deemed to be of a kind which is consistent with the purposes of section 11(a)(1) of the Act, the protection of investors, and the maintenance of fair and orderly markets.

Code of Federal Regulations

(Secs. 2, 3, 6, 10, 11, 11A, 15 and 23 of the Securities Exchange Act of 1934 ( 15 U.S.C. 78b, 78c, 78f, 78j, 78k, 78k-1, 78 o, and 78w))

Code of Federal Regulations

[43 FR 18562, May 1, 1978]