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17 C.F.R. PART 401--EXEMPTIONS

TITLE 17--Commodity and Securities Exchanges

CHAPTER IV--DEPARTMENT OF THE TREASURY

SUBCHAPTER A--REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934

PART 401--EXEMPTIONS

�401.1

Exemption for organizations handling transactions in United States Savings Bonds.

�401.2

Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities.

�401.3

Exemption for financial institutions that are engaged in limited government securities brokerage activities.

�401.4

Exemption for financial institutions engaged in limited government securities dealer activities.

�401.5

Exemption for corporate credit unions transacting limited government securities business with other credit unions.

�401.6

Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.

�401.7

Temporary exemption for certain government securities brokers and dealers terminating business on or before October 31, 1987.

�401.8

Temporary exemption for government securities brokers and dealers that are futures commission merchants registered with the CFTC.

�401.9

Exemption for certain foreign government securities brokers or dealers.