17 CFR Part 401 - EXEMPTIONS
- § 401.1 — Exemption for organizations handling transactions in United States Savings Bonds.
- § 401.2 — Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities.
- § 401.3 — Exemption for financial institutions that are engaged in limited government securities brokerage activities.
- § 401.4 — Exemption for financial institutions engaged in limited government securities dealer activities.
- § 401.5 — Exemption for corporate credit unions transacting limited government securities business with other credit unions.
- § 401.6 — Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.
- § 401.7 — Temporary exemption for certain government securities brokers and dealers terminating business on or before October 31, 1987.
- § 401.8 — Temporary exemption for government securities brokers and dealers that are futures commission merchants registered with the CFTC.
- § 401.9 — Exemption for certain foreign government securities brokers or dealers.
Authority:
Sec. 101, Pub. L. 99-571, 100 Stat. 3209 (15 U.S.C. 78o-5(a)(4)).
Source:
52 FR 27930, July 24, 1987, unless otherwise noted.
Title 17 published on 2012-04-01
no entries appear in the Federal Register after this date.
This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.
This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].
It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.
