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Section 247.100
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Defined terms relating to the networking exception from the definition of ``broker |
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Section 247.700
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Exemption from the definition of ``broker'' for certain institutional referrals |
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Section 247.701
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Defined terms relating to the trust and fiduciary activities exception from the definition of ``broker |
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Section 247.721
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Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis |
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Section 247.722
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Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts |
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Section 247.723
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Defined terms relating to the sweep accounts exception from the definition of ``broker |
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Section 247.740
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Exemption for banks effecting transactions in money market funds |
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Section 247.741
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Exemption from definition of ``broker'' for banks accepting orders to effect transactions in securities from or on |
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Section 247.760
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Exemption from the definition of ``broker'' for banks effecting transactions in securities issued pursuant to Regulation S |
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Section 247.771
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Exemption from the definition of ``broker'' for banks engaging in securities lending transactions |
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Section 247.772
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Exemption from the definition of ``broker'' for banks effecting certain excepted or exempted transactions in investment |
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Section 247.775
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Exemption from the definition of ``broker'' for banks effecting certain excepted or exempted transactions in a company's |
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Section 247.776
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Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934 |
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Section 247.780
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Exemption from the definition of ``broker'' for banks for a limited period of time |
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Section 247.781
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Purpose and scope |