中山市TBT预警防控平台
——技术性贸易措施资源
在1934年证券交易法案经纪人的定义中排除银行（条例R）
时间: 2009-05-20
2018-01-01
12 CFR 218
Exceptions for banks from the definition of broker in the Securities Exchange Act of 1934 (Regulation R)
2018-07-10
| Title 12--Banks and Banking
CHAPTER II--FEDERAL RESERVE SYSTEM PART 218--EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R) |
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218.100 | Definition. |
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218.700 | Defined terms relating to the networking exception from the definition of ``broker.'' |
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218.701 | Exemption from the definition of ``broker'' for certain institutional referrals. |
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218.721 | Defined terms relating to the trust and fiduciary activities exception from the definition of ``broker.'' |
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218.722 | Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis. |
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218.723 | Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts. |
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218.740 | Defined terms relating to the sweep accounts exception from the definition of ``broker.'' |
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218.741 | Exemption for banks effecting transactions in money market funds. |
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218.760 | Exemption from definition of ``broker'' for banks accepting orders to effect transactions in securities from or on behalf of custody accounts. |
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218.771 | Exemption from the definition of ``broker'' for banks effecting transactions in securities issued pursuant to Regulation S. |
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218.772 | Exemption from the definition of ``broker'' for banks engaging in securities lending transactions. |
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218.775 | Exemption from the definition of ``broker'' for banks effecting certain excepted or exempted transactions in investment company securities. |
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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. |
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218.780 | Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934. |
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218.781 | Exemption from the definition of ``broker'' for banks for a limited period of time. |
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