12 CFR Part 218 - EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R)

  1. § 218.100 Definition.
  2. § 218.700 Defined terms relating to the networking exception from the definition of “broker.”
  3. § 218.701 Exemption from the definition of “broker” for certain institutional referrals.
  4. § 218.721 Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
  5. § 218.722 Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.
  6. § 218.723 Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.
  7. § 218.740 Defined terms relating to the sweep accounts exception from the definition of “broker.”
  8. § 218.741 Exemption for banks effecting transactions in money market funds.
  9. § 218.760 Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
  10. § 218.771 Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
  11. § 218.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions.
  12. § 218.775 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.
  13. § 218.776 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans.
  14. § 218.780 Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
  15. § 218.781 Exemption from the definition of “broker” for banks for a limited period of time.
Source:
Reg. R, 72 FR 56554, Oct. 3, 2007, unless otherwise noted.