Code of Federal Regulations · Section
§ 270.17a-4 — a-4 Exemption Of Transactions Pursuant To Certain Contracts
17 C.F.R. § 270.17a-4
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Transactions pursuant to a contract shall be exempt from section 17(a) of the Act if at the time of the making of the contract and for a period of at least six months prior thereto no affiliation or other relationship existed which would operate to make such contract or the subsequent performance thereof subject to the provisions of said section 17(a).
Authorizing Statute
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Registration of securities15 U.S.C. § 77f
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Failure of corporate officers to certify financial reports18 U.S.C. § 1350
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Definitions and application15 U.S.C. § 78c
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Special powers of Commission15 U.S.C. § 77s
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Periodical and other reports15 U.S.C. § 78m