Part 218 — Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934 (regulation R)
- §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.