17 CFR 240.3a5-1 - Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.

Status message

There are 11 Updates appearing in the Federal Register for 17 CFR Part 240. View below or at eCFR (GPOAccess)
§ 240.3a5-1 Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
(a) A bank is exempt from the definition of the term “dealer” to the extent that it engages in or effects riskless principal transactions if the number of such riskless principal transactions during a calendar year combined with transactions in which the bank is acting as an agent for a customer pursuant to section 3(a)(4)(B)(xi) of the Act (15 U.S.C. 78c(a)(4)(B)(xi)) during that same year does not exceed 500.
(b) For purposes of this section, the term riskless principal transaction means a transaction in which, after having received an order to buy from a customer, the bank purchased the security from another person to offset a contemporaneous sale to such customer or, after having received an order to sell from a customer, the bank sold the security to another person to offset a contemporaneous purchase from such customer.
[68 FR 8700, Feb. 24, 2003]

Title 17 published on 2014-04-01.

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2015-04-20; vol. 80 # 75 - Monday, April 20, 2015
    1. 80 FR 21806 - Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rules.
      The final rules and form amendments are effective on June 19, 2015.
      17 CFR Parts 200, 230, 232, 239, 240, 249, and 260

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.


United States Code
U.S. Code: Title 7 - AGRICULTURE
U.S. Code: Title 12 - BANKS AND BANKING
U.S. Code: Title 15 - COMMERCE AND TRADE

§ 27dd

§ 77c - Classes of securities under this subchapter

§ 77d - Exempted transactions

§ 77g - Information required in registration statement

§ 77j - Information required in prospectus

§ 77s - Special powers of Commission

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

§ 77eee - Securities required to be registered under Securities Act

§ 77ggg - Qualification of indentures covering securities not required to be registered

§ 77nnn - Reports by obligor; evidence of compliance with indenture provisions

§ 77sss - Rules, regulations, and orders

§ 77ttt - Hearings by Commission

§ 78c - Definitions and application

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

§ 78d - Securities and Exchange Commission

§ 78e - Transactions on unregistered exchanges

§ 78f - National securities exchanges

§ 78g - Margin requirements

§ 78i - Manipulation of security prices

§ 78j - Manipulative and deceptive devices

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

§ 78k - Trading by members of exchanges, brokers, and dealers

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

15 U.S. Code § -

§ 78m - Periodical and other reports

§ 78n - Proxies

15 U.S. Code § -

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

§ 78p - Directors, officers, and principal stockholders

§ 78q - Records and reports

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

§ 78s - Registration, responsibilities, and oversight of self-regulatory organizations

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

§ 78w - Rules, regulations, and orders; annual reports

§ 78x - Public availability of information

15 U.S. Code § -

§ 78mm - General exemptive authority

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

§ 7201 - Definitions

§ 7202 - Commission rules and enforcement

§ 8302 - Review of regulatory authority

U.S. Code: Title 18 - CRIMES AND CRIMINAL PROCEDURE
Statutes at Large

Title 17 published on 2014-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 240 after this date.

  • 2015-05-13; vol. 80 # 92 - Wednesday, May 13, 2015
    1. 80 FR 27444 - Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Proposed rules.
      Comments should be received on or before July 13, 2015.
      17 CFR Parts 240 and 242