Title 12

PART 218

Part 218 - Exceptions For Banks From The Definition Of Broker In The Securities Exchange Act Of 1934 (regulation R)

PART 218 - EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R) Authority:15 U.S.C. 78c(a)(4)(F). Source:Reg. R, 72 FR 56554, Oct. 3, 2007, unless otherwise noted.

12:2.0.1.1.19.0.28.1SECTION 218.100
   218.100 Definition.
12:2.0.1.1.19.0.28.2SECTION 218.700
   218.700 Defined terms relating to the networking exception from the definition of “broker.”
12:2.0.1.1.19.0.28.3SECTION 218.701
   218.701 Exemption from the definition of “broker” for certain institutional referrals.
12:2.0.1.1.19.0.28.4SECTION 218.721
   218.721 Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
12:2.0.1.1.19.0.28.5SECTION 218.722
   218.722 Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.
12:2.0.1.1.19.0.28.6SECTION 218.723
   218.723 Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.
12:2.0.1.1.19.0.28.7SECTION 218.740
   218.740 Defined terms relating to the sweep accounts exception from the definition of “broker.”
12:2.0.1.1.19.0.28.8SECTION 218.741
   218.741 Exemption for banks effecting transactions in money market funds.
12:2.0.1.1.19.0.28.9SECTION 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.
12:2.0.1.1.19.0.28.10SECTION 218.771
   218.771 Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
12:2.0.1.1.19.0.28.11SECTION 218.772
   218.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions.
12:2.0.1.1.19.0.28.12SECTION 218.775
   218.775 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.
12:2.0.1.1.19.0.28.13SECTION 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.
12:2.0.1.1.19.0.28.14SECTION 218.780
   218.780 Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
12:2.0.1.1.19.0.28.15SECTION 218.781
   218.781 Exemption from the definition of “broker” for banks for a limited period of time.