17 CFR Part 247
REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER
April 15, 2021
§
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
Tried the LawStack mobile app?
Join thousands and try LawStack mobile for FREE today.
- Carry the law offline, wherever you go.
- Download CFR, USC, rules, and state law to your mobile device.
