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Electronic Code of Federal Regulations

e-CFR data is current as of April 6, 2020

Title 17Chapter IVSubchapter APart 401


TITLE 17—Commodity and Securities Exchanges

CHAPTER IV—DEPARTMENT OF THE TREASURY

SUBCHAPTER A—REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934

PART 401—EXEMPTIONS

rule
§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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