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.

• Authority: 15 U.S.C. 78c, 78o, 78q, 78w, and 78mm.
• Source: 72 FR 56554, Oct. 3, 2007, unless otherwise noted.

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

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