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Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934 (Regulation R)

As codified at 12 CFR 218.

218.100 - Definition

218.700 - Defined Terms Relating to the Networking Exception from the Definition of “Broker”

218.701 - Exemption from the Definition of “Broker” for Certain Institutional Referrals

218.721 - Defined Terms Relating to the Trust and Fiduciary Activities Exception from the Definition of “Broker”

218.722 - Exemption Allowing Banks to Calculate Trust and Fiduciary Compensation on a Bank-Wide Basis

218.723 - Exemptions for Special Accounts, Transferred Accounts, Foreign Branches and a De Minimis Number of Accounts

218.740 - Defined Terms Relating to the Sweep Accounts Exception from the Definition of “Broker”

218.741 - Exemption for Banks Effecting Transactions in Money Market Funds

218.760 - Exemption from Definition of “Broker” for Banks Accepting Orders to Effect Transactions in Securities from or on Behalf of Custody Accounts

218.771 - Exemption from the Definition of “Broker” for Banks Effecting Transactions in Securities Issued Pursuant to Regulation S

218.772 - Exemption from the Definition of “Broker” for Banks Engaging in Securities Lending Transactions

218.775 - Exemption from the Definition of “Broker” for Banks Effecting Certain Excepted or Exempted Transactions in Investment Company Securities

218.776 - Exemption from the Definition of “Broker” for Banks Effecting Certain Excepted or Exempted Transactions in a Company's Securities for its Employee Benefit Plans

218.780 - Exemption for Banks from Liability Under Section 29 of the Securities Exchange Act of 1934

218.781 - Exemption from the Definition of “Broker” for Banks for a Limited Period of Time

Alphabetical Listing

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