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Regulations last checked for updates: May 05, 2024
Title 12 - Banks and Banking last revised: Apr 23, 2024
All Titles
Title 12
Chapter II
Part 218 - PART 218—EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R)
§ 218.100 - Definition.
§ 218.700 - Defined terms relating to the networking exception from the definition of “broker.”
§ 218.701 - Exemption from the definition of “broker” for certain institutional referrals.
§ 218.721 - Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
§ 218.722 - Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.
§ 218.723 - Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.
§ 218.740 - Defined terms relating to the sweep accounts exception from the definition of “broker.”
§ 218.741 - Exemption for banks effecting transactions in money market funds.
§ 218.760 - Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
§ 218.771 - Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
§ 218.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.
§ 218.775 - Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.
§ 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.
§ 218.780 - Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
§ 218.781 - Exemption from the definition of “broker” for banks for a limited period of time.
authority:
15 U.S.C. 78c
(a)(4)(F)
source:
Reg. R, 72 FR 56554, Oct. 3, 2007, unless otherwise noted.
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