17 CFR Part 247 - REGULATION R - EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER

  1. § 247.100 Definition.
  2. § 247.700 Defined terms relating to the networking exception from the definition of “broker.”
  3. § 247.701 Exemption from the definition of “broker” for certain institutional referrals.
  4. § 247.721 Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
  5. § 247.722 Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.
  6. § 247.723 Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.
  7. § 247.740 Defined terms relating to the sweep accounts exception from the definition of “broker.”
  8. § 247.741 Exemption for banks effecting transactions in money market funds.
  9. § 247.760 Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
  10. § 247.771 Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
  11. § 247.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions.
  12. § 247.775 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.
  13. § 247.776 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. § 247.780 Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
  15. § 247.781 Exemption from the definition of “broker” for banks for a limited period of time.
Authority:
15 U.S.C. 78c, 78o, 78q, 78w, and 78mm.
Source:
72 FR 56554, Oct. 3, 2007, unless otherwise noted.
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