Title 12, Part 218 — Exceptions for Banks From the Definition of Broker in the Securities Exchange Act of 1934 (Regulation R)

Definition.

Defined terms relating to the networking exception from the definition of “broker.”

Exemption from the definition of “broker” for certain institutional referrals.

Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”

Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.

Exemptions for special accounts, transferred accounts, foreign branches and a number of accounts.

Defined terms relating to the sweep accounts exception from the definition of “broker.”

Exemption for banks effecting transactions in money market funds.

Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.

Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.

Exemption from the definition of “broker” for banks engaging in securities lending transactions.

Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.

Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans.

Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.

Exemption from the definition of “broker” for banks for a limited period of time.