PocketLaw | CFR 12 | Exceptions for Banks from the Definition of

Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934 (Regulation R)

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Section
218.100

Definition.

Section
218.700

Defined terms relating to the networking exception from the definition of “broker.”

Section
218.701

Exemption from the definition of “broker” for certain institutional referrals.

Section
218.721

Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”

Section
218.722

Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.

Section
218.723

Exemptions for special accounts, transferred accounts, foreign branches and a <em>de minimis</em> number of accounts.

Section
218.740

Defined terms relating to the sweep accounts exception from the definition of “broker.”

Section
218.741

Exemption for banks effecting transactions in money market funds.

Section
218.760

Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.

Section
218.771

Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.

Section
218.772

Exemption from the definition of “broker” for banks engaging in securities lending transactions.

Section
218.775

Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.

Section
218.776

Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans.

Section
218.780

Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.

Section
218.781

Exemption from the definition of “broker” for banks for a limited period of time.