California Code of Regulations
Title 10 - Investment
Chapter 5 - Insurance Commissioner
Subchapter 5 - Stock Insurers-Corporate Affairs
Article 2 - Insider Trading
Section 2682.7 - Exemption of Securities Purchased or Sold by Odd-Lot Dealers
Universal Citation: 10 CA Code of Regs 2682.7
Current through Register 2024 Notice Reg. No. 38, September 20, 2024
Securities purchased or sold by an odd-lot dealer (1) in odd lots so far as reasonably necessary to carry on odd-lot transactions or (2) in round lots to offset odd-lot transactions previously or simultaneously executed or reasonably anticipated in the usual course of business, shall be exempt from Section 1104.3 with respect to participation by such odd-lot dealer in such transactions.
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