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在1934年證券交易法案經(jīng)紀(jì)人的定義中排除銀行（條例R）

時(shí)間: 2009-05-20

2018-01-01

12 CFR 218

Exceptions for banks from the definition of broker in the Securities Exchange Act of 1934 (Regulation R)

2018-07-10
Title 12--Banks and Banking

CHAPTER II--FEDERAL RESERVE SYSTEM

PART 218--EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R)
TEXT PDF 218.100 Definition.
TEXT PDF 218.700 Defined terms relating to the networking exception from the definition of ``broker.''
TEXT PDF 218.701 Exemption from the definition of ``broker'' for certain institutional referrals.
TEXT PDF 218.721 Defined terms relating to the trust and fiduciary activities exception from the definition of ``broker.''
TEXT PDF 218.722 Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.
TEXT PDF 218.723 Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.
TEXT PDF 218.740 Defined terms relating to the sweep accounts exception from the definition of ``broker.''
TEXT PDF 218.741 Exemption for banks effecting transactions in money market funds.
TEXT PDF 218.760 Exemption from definition of ``broker'' for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
TEXT PDF 218.771 Exemption from the definition of ``broker'' for banks effecting transactions in securities issued pursuant to Regulation S.
TEXT PDF 218.772 Exemption from the definition of ``broker'' for banks engaging in securities lending transactions.
TEXT PDF 218.775 Exemption from the definition of ``broker'' for banks effecting certain excepted or exempted transactions in investment company securities.
TEXT PDF 218.776 Exemption from the definition of ``broker'' for banks effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans.
TEXT PDF 218.780 Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
TEXT PDF 218.781 Exemption from the definition of ``broker'' for banks for a limited period of time.

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