Title 17

PART 401

Part 401 - Exemptions

PART 401 - EXEMPTIONS Authority:Sec. 101, Pub. L. 99-571, 100 Stat. 3209 (15 U.S.C. 78o-5(a)(4)). Source:52 FR 27930, July 24, 1987, unless otherwise noted.

17:4.0.2.1.2.0.154.1SECTION 401.1
   401.1 Exemption for organizations handling transactions in United States Savings Bonds.
17:4.0.2.1.2.0.154.2SECTION 401.2
   401.2 Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities.
17:4.0.2.1.2.0.154.3SECTION 401.3
   401.3 Exemption for financial institutions that are engaged in limited government securities brokerage activities.
17:4.0.2.1.2.0.154.4SECTION 401.4
   401.4 Exemption for financial institutions engaged in limited government securities dealer activities.
17:4.0.2.1.2.0.154.5SECTION 401.5
   401.5 Exemption for corporate credit unions transacting limited government securities business with other credit unions.
17:4.0.2.1.2.0.154.6SECTION 401.6
   401.6 Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.
17:4.0.2.1.2.0.154.7SECTION 401.7
   401.7 Exemption for certain foreign government securities brokers or dealers.