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Part 247
FEDERAL · 17 CFR
Part 247 — Regulation R—Exemptions and Definitions Related to the Exceptions for Banks from the Definition of Broker
15 sections · Title 17: Commodity and Securities Exchanges
§ 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.