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Regulations last checked for updates: May 09, 2025
Title 17 - Commodity and Securities Exchanges last revised: Apr 22, 2025
All Titles
Title 17
Chapter IV
Part 401 - PART 401—EXEMPTIONS
§ 401.1 -
§ 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.
authority:
Sec. 101, Pub. L. 99-571, 100 Stat. 3209 (
15 U.S.C. 78o-5
(a)(4))
source:
52 FR 27930, July 24, 1987, unless otherwise noted.
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