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 Exemption for certain foreign government securities brokers or dealers.
Authority:
Source:
52 FR 27930, July 24, 1987, unless otherwise noted.
{'United States Code': [{'Title': '15', 'Section': '78o-5', 'headtext': ' Government securities brokers and dealers', 'cleanpath': '/uscode/text/15/78o-5'}], 'Statutes at Large': [], 'Public Laws': [], 'Presidential Documents': []}