Federal (United States) · Regulations
Part 218 — EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R)
13 sections
13 sections
- 12 C.F.R. § 218.100Definition.
- 12 C.F.R. § 218.701Exemption from the definition of “broker” for certain institutional referrals.
- 12 C.F.R. § 218.721Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
- 12 C.F.R. § 218.723Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.
- 12 C.F.R. § 218.740Defined terms relating to the sweep accounts exception from the definition of “broker.”
- 12 C.F.R. § 218.741Exemption for banks effecting transactions in money market funds.
- 12 C.F.R. § 218.760Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
- 12 C.F.R. § 218.771Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
- 12 C.F.R. § 218.772Exemption from the definition of “broker” for banks engaging in securities lending transactions.
- 12 C.F.R. § 218.775Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.
- 12 C.F.R. § 218.776Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans.
- 12 C.F.R. § 218.780Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
- 12 C.F.R. § 218.781Exemption from the definition of “broker” for banks for a limited period of time.