REGULATIONS
Rulings
AD/CVD
Notices
HTSUS
U.S. Code
Regs
More
Ports
About
Updates
Apps
Larger font
Smaller font
SEARCH
Sort by Rank
Titles Ascending
Titles Descending
10 per page
25 Result/page
50 Result/page
Regulations last checked for updates: Apr 03, 2025
Title 17 - Commodity and Securities Exchanges last revised: Mar 24, 2025
All Titles
Title 17
Chapter II
Part 247 - PART 247—REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER
§ 247.100 - Definition.
§ 247.700 - Defined terms relating to the networking exception from the definition of “broker.”
§ 247.701 - Exemption from the definition of “broker” for certain institutional referrals.
§ 247.721 - Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
§ 247.722 - Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.
§ 247.723 - Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.
§ 247.740 - Defined terms relating to the sweep accounts exception from the definition of “broker.”
§ 247.741 - Exemption for banks effecting transactions in money market funds.
§ 247.760 - Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
§ 247.771 - Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
§ 247.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.
§ 247.775 - Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.
§ 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.
§ 247.780 - Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
§ 247.781 - Exemption from the definition of “broker” for banks for a limited period of time.
authority:
15 U.S.C.
78
c,
78
source:
72 FR 56554, Oct. 3, 2007, unless otherwise noted.
.list_box li,p,.cm-search-info,.cm-search-detail,.abt span,.expand-collapse_top
Get the CustomsMobile app!