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17 C.F.R. Part 401 – Exemptions | Midpage
Collections
Code of Federal Regulations
Title 17
Chapter IV
Subchapter A
Part 401
17 C.F.R. Part 401
Exemptions
401.1
Exemption for organizations handling transactions in United States Savings Bonds.
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.