Part 401—Exemptions

1. CFR
2. ›
3. Title 17
4. ›
5. Chapter IV
6. ›
7. Part 401

Sections

• 401.1
  § 401.1 Exemption for organizations handling transactions in United States Savings Bonds.
• 401.2
  § 401.2 Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities.
• 401.3
  § 401.3 Exemption for financial institutions that are engaged in limited government securities brokerage activities.
• 401.4
  § 401.4 Exemption for financial institutions engaged in limited government securities dealer activities.
• 401.5
  § 401.5 Exemption for corporate credit unions transacting limited government securities business with other credit unions.
• 401.6
  § 401.6 Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.
• 401.7
  § 401.7 Exemption for certain foreign government securities brokers or dealers.