17 CFR Part 247
15 sections.
- § 247.100Definition
- § 247.700Defined terms relating to the networking exception from the definition of “broker.”
- § 247.701Exemption from the definition of “broker” for certain institutional referrals
- § 247.721Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
- § 247.722Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis
- § 247.723Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts
- § 247.740Defined terms relating to the sweep accounts exception from the definition of “broker.”
- § 247.741Exemption for banks effecting transactions in money market funds
- § 247.760Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts
- § 247.771Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
- § 247.772Exemption from the definition of “broker” for banks engaging in securities lending transactions
- § 247.775Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities
- § 247.776Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans
- § 247.780Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934
- § 247.781Exemption from the definition of “broker” for banks for a limited period of time
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.