17 CFR Part 401
EXEMPTIONS
April 15, 2021
§
401.1
Exemption for organizations handling transactions in United States Savings Bonds
§
401.2
Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities
§
401.3
Exemption for financial institutions that are engaged in limited government securities brokerage activities
§
401.4
Exemption for financial institutions engaged in limited government securities dealer activities
§
401.5
Exemption for corporate credit unions transacting limited government securities business with other credit unions
§
401.6
Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore
§
401.7
Exemption for certain foreign government securities brokers or dealers
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