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Code of Federal Regulations

Part 247

17 C.F.R. Part 247

Regulation R—Exemptions and Definitions Related to the Exceptions for Banks from the Definition of Broker

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.