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.

• Authority: 15 U.S.C. 78c(a)(4)(F).
• Source: Reg. R, 72 FR 56554, Oct. 3, 2007, unless otherwise noted.

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

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