Part 247 - REGULATION REXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER  


§ 247.100 Definition.
§ 247.700 Defined terms relating to the networking exception from the definition of “broker.”
§ 247.701 Exemption from the definition of “broker” for certain institutional referrals.
§ 247.721 Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
§ 247.722 Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.
§ 247.723 Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.
§ 247.740 Defined terms relating to the sweep accounts exception from the definition of “broker.”
§ 247.741 Exemption for banks effecting transactions in money market funds.
§ 247.760 Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
§ 247.771 Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
§ 247.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions.
§ 247.775 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.
§ 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.
§ 247.780 Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
§ 247.781 Exemption from the definition of “broker” for banks for a limited period of time.

Authority

15 U.S.C. 78c, 78 o , 78q, 78w, and 78mm.

Source

72 FR 56554, Oct. 3, 2007, unless otherwise noted.