Title 17

PART 401

Part 401 - Exemptions

PART 401 - EXEMPTIONS Authority:Sec. 101, Pub. L. 99-571, 100 Stat. 3209 (15 U.S.C. 78o-5(a)(4)). Source:52 FR 27930, July 24, 1987, unless otherwise noted.

• Authority: Sec. 101, Pub. L. 99-571, 100 Stat. 3209 (15 U.S.C. 78o-5(a)(4)).
• Source: 52 FR 27930, July 24, 1987, unless otherwise noted.

17:4.0.2.1.2.0.154.1	SECTION 401.1	401.1 Exemption for organizations handling transactions in United States Savings Bonds.
17:4.0.2.1.2.0.154.2	SECTION 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.
17:4.0.2.1.2.0.154.3	SECTION 401.3	401.3 Exemption for financial institutions that are engaged in limited government securities brokerage activities.
17:4.0.2.1.2.0.154.4	SECTION 401.4	401.4 Exemption for financial institutions engaged in limited government securities dealer activities.
17:4.0.2.1.2.0.154.5	SECTION 401.5	401.5 Exemption for corporate credit unions transacting limited government securities business with other credit unions.
17:4.0.2.1.2.0.154.6	SECTION 401.6	401.6 Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.
17:4.0.2.1.2.0.154.7	SECTION 401.7	401.7 Exemption for certain foreign government securities brokers or dealers.

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