§ 401.8Temporary exemption for government securities brokers and dealers that are futures commission merchants registered with the CFTC.
During the period ending October 31, 1987, a government securities broker or dealer that is a futures commission merchant shall be exempt from the provisions of section 15C (a), (b), and (d) of the Act (15 U.S.C. 78o-5 (a), (b), (d)) and the regulations of this subchapter if:
(a) It is registered with the Commodity Futures Trading Commission under section 4f of the Commodity Exchange Act (7 U.S.C. 6f) and the regulations thereunder; and
(b) It is not currently the subject of any disciplinary action by any Federal or state entity regulating persons dealing in securities or commodities.
Title 17 published on 2014-04-01.
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