Part 218—Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934 (Regulation R)

1. CFR
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3. Title 12
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5. Chapter II
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7. Part 218

Sections

Section numbering in the official eCFR can be non-consecutive. Omitted section numbers are not treated here as reserved unless the source explicitly labels them that way.

• 218.100
  § 218.100 Definition.
• 218.700
  § 218.700 Defined terms relating to the networking exception from the definition of “broker.”
• 218.701
  § 218.701 Exemption from the definition of “broker” for certain institutional referrals.
• 218.721
  § 218.721 Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
• 218.722
  § 218.722 Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.
• 218.723
  § 218.723 Exemptions for special accounts, transferred accounts, foreign branches and a <em>de minimis</em> number of accounts.
• 218.740
  § 218.740 Defined terms relating to the sweep accounts exception from the definition of “broker.”
• 218.741
  § 218.741 Exemption for banks effecting transactions in money market funds.
• 218.760
  § 218.760 Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
• 218.771
  § 218.771 Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
• 218.772
  § 218.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions.
• 218.775
  § 218.775 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.
• 218.776
  § 218.776 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans.
• 218.780
  § 218.780 Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
• 218.781
  § 218.781 Exemption from the definition of “broker” for banks for a limited period of time.