Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Exemption of Certain Securities from Section 11(d)(1) (Rules 11d1-1 to 11d2-1)

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Rule 11d1-1 -- Exemption of Certain Securities from Section 11(d)(1)

Rule 11d1-2 -- Exemption from Section 11(d)(1) for Certain Investment Company Securities Held by Broker-Dealers as Collateral in Margin Accounts

Rule 11d2-1 -- Exemption from Section 11(d)(2) for Certain Broker-Dealers Effecting Transactions for Customers Security Futures Products in Futures Accounts

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