Title 17, Part 401 — Exemptions
7 sections
Section 401.1
Exemption for organizations handling transactions in United States Savings Bonds.
Section 401.2
Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities.
Section 401.3
Exemption for financial institutions that are engaged in limited government securities brokerage activities.
Section 401.4
Exemption for financial institutions engaged in limited government securities dealer activities.
Section 401.5
Exemption for corporate credit unions transacting limited government securities business with other credit unions.
Section 401.6
Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.
Section 401.7
Exemption for certain foreign government securities brokers or dealers.