Exemptions

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Department of the Treasury
  5. Regulations Under Section 15C of the Securities Exchange Act of 1934
  6. Exemptions

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Section
401.1

Exemption for organizations handling transactions in United States Savings Bonds.

Section
401.2

Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities.

Section
401.3

Exemption for financial institutions that are engaged in limited government securities brokerage activities.

Section
401.4

Exemption for financial institutions engaged in limited government securities dealer activities.

Section
401.5

Exemption for corporate credit unions transacting limited government securities business with other credit unions.

Section
401.6

Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.

Section
401.7

Exemption for certain foreign government securities brokers or dealers.