PocketLaw | CFR 17 | Regulation R - Exemptions and Definitions Related

Regulation R - Exemptions and Definitions Related to the Exceptions for Banks from the Definition of Broker

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Section
247.100

Definition.

Section
247.700

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

Section
247.701

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

Section
247.721

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

Section
247.722

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

Section
247.723

Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.

Section
247.740

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

Section
247.741

Exemption for banks effecting transactions in money market funds.

Section
247.760

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

Section
247.771

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

Section
247.772

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

Section
247.775

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

Section
247.776

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
247.780

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

Section
247.781

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