§ 200.735-5 Securities transactions.

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Title 17 CFR: Commodity and Securities Exchanges › Chapter II: SECURITIES AND EXCHANGE COMMISSION › Part 200: ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS › Subpart M: Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission › § 200.735-5: § 200.735-5 Securities transactions.

This text was captured on Aug 14, 2026. It is a snapshot, not a live feed, so check the official code before relying on it.

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Securities transactions by members and employees must comply with the provisions of 5 CFR 4401.102 (Prohibited and restricted financial interests and transactions).

[75 FR 42277, July 20, 2010]

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