17 CFR Part 247
15 sections.
- § 247.100§ 247.100 Definition.
- § 247.700§ 247.700 Defined terms relating to the networking exception from the definition of “broker.”
- § 247.701§ 247.701 Exemption from the definition of “broker” for certain institutional referrals.
- § 247.721§ 247.721 Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
- § 247.722§ 247.722 Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.
- § 247.723§ 247.723 Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.
- § 247.740§ 247.740 Defined terms relating to the sweep accounts exception from the definition of “broker.”
- § 247.741§ 247.741 Exemption for banks effecting transactions in money market funds.
- § 247.760§ 247.760 Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
- § 247.771§ 247.771 Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
- § 247.772§ 247.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions.
- § 247.775§ 247.775 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.
- § 247.776§ 247.776 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans.
- § 247.780§ 247.780 Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
- § 247.781§ 247.781 Exemption 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.