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.
|17:184.108.40.206.220.127.116.11||SECTION 401.1||401.1 Exemption for organizations handling transactions in United States Savings Bonds.|
|17:18.104.22.168.22.214.171.124||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.|
|17:126.96.36.199.188.8.131.52||SECTION 401.3||401.3 Exemption for financial institutions that are engaged in limited government securities brokerage activities.|
|17:184.108.40.206.220.127.116.11||SECTION 401.4||401.4 Exemption for financial institutions engaged in limited government securities dealer activities.|
|17:18.104.22.168.22.214.171.124||SECTION 401.5||401.5 Exemption for corporate credit unions transacting limited government securities business with other credit unions.|
|17:126.96.36.199.188.8.131.52||SECTION 401.6||401.6 Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.|
|17:184.108.40.206.220.127.116.11||SECTION 401.7||401.7 Exemption for certain foreign government securities brokers or dealers.|