Home/CFR/Title 12/Part 218
FEDERAL · 12 CFR

Part 218 — Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934 (Regulation R)

15 sections · Title 12: Banks and Banking

§ 218.100Definition.
§ 218.700Defined terms relating to the networking exception from the definition of “broker.”
§ 218.701Exemption from the definition of “broker” for certain institutional referrals.
§ 218.721Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
§ 218.722Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.
§ 218.723Exemptions for special accounts, transferred accounts, foreign branches and a <em>de minimis</em> number of accounts.
§ 218.740Defined terms relating to the sweep accounts exception from the definition of “broker.”
§ 218.741Exemption for banks effecting transactions in money market funds.
§ 218.760Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
§ 218.771Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
§ 218.772Exemption from the definition of “broker” for banks engaging in securities lending transactions.
§ 218.775Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.
§ 218.776Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans.
§ 218.780Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
§ 218.781Exemption from the definition of “broker” for banks for a limited period of time.