Title 17

PART 247

Part 247 - Regulation R - Exemptions And Definitions Related To The Exceptions For Banks From The Definition Of Broker

PART 247 - REGULATION R - EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER Authority:15 U.S.C. 78c, 78o, 78q, 78w, and 78mm. Source:72 FR 56554, Oct. 3, 2007, unless otherwise noted.

17:4.0.1.1.8.0.120.1SECTION 247.100
   247.100 Definition.
17:4.0.1.1.8.0.120.2SECTION 247.700
   247.700 Defined terms relating to the networking exception from the definition of “broker.”
17:4.0.1.1.8.0.120.3SECTION 247.701
   247.701 Exemption from the definition of “broker” for certain institutional referrals.
17:4.0.1.1.8.0.120.4SECTION 247.721
   247.721 Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
17:4.0.1.1.8.0.120.5SECTION 247.722
   247.722 Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.
17:4.0.1.1.8.0.120.6SECTION 247.723
   247.723 Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.
17:4.0.1.1.8.0.120.7SECTION 247.740
   247.740 Defined terms relating to the sweep accounts exception from the definition of “broker.”
17:4.0.1.1.8.0.120.8SECTION 247.741
   247.741 Exemption for banks effecting transactions in money market funds.
17:4.0.1.1.8.0.120.9SECTION 247.760
   247.760 Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
17:4.0.1.1.8.0.120.10SECTION 247.771
   247.771 Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
17:4.0.1.1.8.0.120.11SECTION 247.772
   247.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions.
17:4.0.1.1.8.0.120.12SECTION 247.775
   247.775 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.
17:4.0.1.1.8.0.120.13SECTION 247.776
   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.
17:4.0.1.1.8.0.120.14SECTION 247.780
   247.780 Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
17:4.0.1.1.8.0.120.15SECTION 247.781
   247.781 Exemption from the definition of “broker” for banks for a limited period of time.