Code of Federal Regulations · Part

Part 218 — Exceptions For Banks From The Definition Of Broker In The Securities Exchange Act Of 1934 (regulation R)

12 C.F.R. pt. 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