noticed financial institution

The term noticed financial institution means a financial institution as defined at 400.3 of this title that has provided notice to its appropriate regulatory agency pursuant to 400.1(d) of this title.

Source

17 CFR § 401.7

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Scoping language

A government securities broker or dealer (excluding a branch or agency of a foreign bank) that is a non-U.S. resident shall be exempt from the provisions of sections 15C, (b), and (d) of the Act (15 U.S.C. 78o5(a), (b) and (d)) and the regulations of this subchapter provided it complies with the provisions of 17 CFR 240.15a6 (SEC Rule 15a6) as modified in this section.

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