12 CFR Part 218
EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R)
November 10, 2020
§
218.100
Definition
§
218.700
Defined terms relating to the networking exception from the definition of “broker.”
§
218.701
Exemption from the definition of “broker” for certain institutional referrals
§
218.721
Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
§
218.722
Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis
§
218.723
Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts
§
218.740
Defined terms relating to the sweep accounts exception from the definition of “broker.”
§
218.741
Exemption for banks effecting transactions in money market funds
§
218.760
Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts
§
218.781
Exemption from the definition of “broker” for banks for a limited period of time
§
218.771
Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S
§
218.772
Exemption from the definition of “broker” for banks engaging in securities lending transactions
§
218.775
Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities
§
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
§
218.780
Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934
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