17 CFR Part 401 - EXEMPTIONS | US Law | LII / Legal Information Institute

§ 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 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.

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 15 - COMMERCE AND TRADE

§ 78o-5 - Government securities brokers and dealers

Title 17 published on 05-Jun-2018 04:15

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 401 after this date.

2014-07-08; vol. 79 # 130 - Tuesday, July 8, 2014

79 FR 38451 - Government Securities Act Regulations; Replacement of References to Credit Ratings and Technical Amendments

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2014-15731
RIN	1535-AA02
Docket No.	BPD GSRS 11-01

DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets

Final rule.

The amendments will become effective August 7, 2014.

17 CFR Parts 400, 401, 402, 403, 405, 420, 449, and 450

Summary

The Department of the Treasury (Treasury) is issuing in final form an amendment to the regulations issued under the Government Securities Act of 1986, as amended (GSA), to replace references to credit ratings in the regulations with alternative requirements. Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) requires Federal agencies to remove from their applicable regulations any reference to or requirement of reliance on credit ratings and to substitute a standard of creditworthiness as the agency determines appropriate for such regulations. This final rule amendment provides a substitute standard of creditworthiness for use in the liquid capital rule required by GSA regulations. It also contains several non-substantive, technical amendments to Treasury's GSA regulations to update certain information or to delete certain requirements that are no longer applicable.