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Title 17
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Part 401
FEDERAL · 17 CFR
Part 401 — Exemptions
7 sections · Title 17: Commodity and Securities Exchanges
§ 401.1
Exemption for organizations handling transactions in United States Savings Bonds.
§ 401.2
Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities.
§ 401.3
Exemption for financial institutions that are engaged in limited government securities brokerage activities.
§ 401.4
Exemption for financial institutions engaged in limited government securities dealer activities.
§ 401.5
Exemption for corporate credit unions transacting limited government securities business with other credit unions.
§ 401.6
Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.
§ 401.7
Exemption for certain foreign government securities brokers or dealers.