17 CFR Part 247 — Regulation R—Exemptions 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.