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Electronic Code of Federal Regulations

e-CFR data is current as of January 23, 2020

Title 17Chapter IIPart 247


TITLE 17—Commodity and Securities Exchanges

CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)

PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER

rule
§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.

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