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 — Temporary exemption for certain government securities brokers and dealers terminating business on or before October 31, 1987.
- § 401.8 — Temporary exemption for government securities brokers and dealers that are futures commission merchants registered with the CFTC.
- § 401.9 — 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.
Title 17 published on 2015-04-01.
No entries appear in the Federal Register after this date, for 17 CFR Part 401.