17 CFR Part 401
7 sections.
- § 401.1Exemption for organizations handling transactions in United States Savings Bonds
- § 401.2Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities
- § 401.3Exemption for financial institutions that are engaged in limited government securities brokerage activities
- § 401.4Exemption for financial institutions engaged in limited government securities dealer activities
- § 401.5Exemption for corporate credit unions transacting limited government securities business with other credit unions
- § 401.6Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore
- § 401.7Exemption for certain foreign government securities brokers or dealers
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.