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Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations
e-CFR Data is current as of February 4, 2010
TITLE 12--Banks and Banking
CHAPTER II--FEDERAL RESERVE SYSTEM
SUBCHAPTER A--BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM
PART 218--EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R)
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| Defined terms relating to the networking exception from the definition of ''broker.'' |
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| Exemption from the definition of ''broker'' for certain institutional referrals. |
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| Defined terms relating to the trust and fiduciary activities exception from the definition of ''broker.'' |
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| Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis. |
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| Exemptions for special accounts, transferred accounts, foreign branches and anumber of accounts. |
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| Defined terms relating to the sweep accounts exception from the definition of ''broker.'' |
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| Exemption for banks effecting transactions in money market funds. |
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| Exemption from definition of ''broker'' for banks accepting orders to effect transactions in securities from or on behalf of custody accounts. |
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| Exemption from the definition of ''broker'' for banks effecting transactions in securities issued pursuant to Regulation S. |
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| Exemption from the definition of ''broker'' for banks engaging in securities lending transactions. |
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| Exemption from the definition of ''broker'' for banks effecting certain excepted or exempted transactions in investment company securities. |
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| Exemption from the definition of ''broker'' for banks effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans. |
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| Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934. |
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| Exemption from the definition of ''broker'' for banks for a limited period of time. |
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