Please help us improve our site!
No thank you
Skip to main content
Cornell University insignia Cornell Law School Search Cornell
Support Us!
Search
  • About LII
    • Who We Are
    • What We Do
    • Who Pays For This
    • Contact Us
  • Get the law
    • Constitution
    • Supreme Court
    • U.S. Code
    • CFR
    • Federal Rules
      • Federal Rules of Appellate Procedure
      • Federal Rules of Civil Procedure
      • Federal Rules of Criminal Procedure
      • Federal Rules of Evidence
      • Federal Rules of Bankruptcy Procedure
    • U.C.C.
    • Law by jurisdiction
      • State law
      • Uniform laws
      • Federal law
      • World law
  • Lawyer directory
  • Legal encyclopedia
    • Business law
    • Constitutional law
    • Criminal law
    • Family law
    • Employment law
    • Money and Finances
    • More...
  • Help out
    • Give
    • Sponsor
    • Advertise
    • Create
    • Promote
    • Join Lawyer Directory


  1. LII
  2. Electronic Code of Federal Regulations (e-CFR)
  3. Title 17. Commodity and Securities Exchanges
  4. Chapter IV. DEPARTMENT OF THE TREASURY
  5. Subchapter A. REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
  6. Part 401. EXEMPTIONS

17 CFR Part 401 - EXEMPTIONS

  • CFR
prev | next
  1. § 401.1 Exemption for organizations handling transactions in United States Savings Bonds.
  2. § 401.2 Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities.
  3. § 401.3 Exemption for financial institutions that are engaged in limited government securities brokerage activities.
  4. § 401.4 Exemption for financial institutions engaged in limited government securities dealer activities.
  5. § 401.5 Exemption for corporate credit unions transacting limited government securities business with other credit unions.
  6. § 401.6 Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.
  7. § 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.
{'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': []}

CFR Toolbox

Law about... Articles from Wex
Table of Popular Names
Parallel Table of Authorities
How current is this?


  • Accessibility
  • About LII
  • Contact us
  • Advertise here
  • Help
  • Terms of use
  • Privacy
  • LII logo