17 CFR · Commodity and Securities Exchanges

§ 240.3a12-12 — Exemption from certain provisions of section 16 of the Act for asset-backed securities.

eCFR · current through Aug 6, 2026

§ 240.3a12-12 Exemption from certain provisions of section 16 of the Act for asset-backed securities.
Asset-backed securities, as defined in § 229.1101 of this chapter, are exempt from section 16 of the Act (15 U.S.C. 78p).

[70 FR 1620, Jan. 7, 2005]

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17 C.F.R. § 240.3a12-12 (Exemption from certain provisions of section 16 of the Act for asset-backed securities.) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

Related

15 U.S.C. § 78p

Nearby Sections

11

§ 240.3a12-7

Exemption for certain derivative securities traded otherwise than on a national securities exchange.

§ 240.3a12-8

Exemption for designated foreign government securities for purposes of futures trading.

§ 240.3a12-9

Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).

§ 240.3a12-10

Exemption of certain securities issued by the Resolution Funding Corporation.

§ 240.3a12-11

Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.

§ 240.3a12-12

Exemption from certain provisions of section 16 of the Act for asset-backed securities.

§ 240.3a40-1

Designation of financial responsibility rules.

§ 240.3a43-1

Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission.

§ 240.3a44-1

Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.

§ 240.3a44-2

Further definition of “as a part of a regular business” in connection with certain liquidity providers.

§ 240.3a51-1

Definition of “penny stock”.

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