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