---
kind: "unit"
title: "17"
title_heading: "Commodity and Securities Exchanges"
key: "chIV/subchA/part401"
level: "part"
label: "Part 401"
heading: "Exemptions"
release: "ecfr-current"
date: "2026-08-27"
url: "https://uscodex.org/cfr/17/chIV-subchA-part401"
sections_count: 7
---

# Part 401 — Exemptions

Title 17 C.F.R. — Commodity and Securities Exchanges › Chapter IV — Department of the Treasury › Subchapter A — Regulations under Section 15c of the Securities Exchange Act of 1934

## Sections

- [§401.1. Exemption for organizations handling transactions in United States Savings Bonds.](/cfr/17/401.1.md)
- [§401.2. Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities.](/cfr/17/401.2.md)
- [§401.3. Exemption for financial institutions that are engaged in limited government securities brokerage activities.](/cfr/17/401.3.md)
- [§401.4. Exemption for financial institutions engaged in limited government securities dealer activities.](/cfr/17/401.4.md)
- [§401.5. Exemption for corporate credit unions transacting limited government securities business with other credit unions.](/cfr/17/401.5.md)
- [§401.6. Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.](/cfr/17/401.6.md)
- [§401.7. Exemption for certain foreign government securities brokers or dealers.](/cfr/17/401.7.md)