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e-CFR data is current as of September 24, 2020

Title 17Chapter IIPart 230 → §230.150


Title 17: Commodity and Securities Exchanges
PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933


§230.150   Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.

The term commission or other remuneration in section 3(a)(9) of the Act shall not include payments made by the issuer, directly or indirectly, to its security holders in connection with an exchange of securities for outstanding securities, when such payments are part of the terms of the offer of exchange.

[2 FR 1076, May 26, 1937]

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