12 CFR 218, effective
April 17, 2008
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- Section
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Definition
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Defined terms relating to
the networking exception from the definition of broker
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Exemption from the definition
of broker for certain institutional referrals
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Defined terms relating
to the trust and fiduciary activities exception from the definition
of broker
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Exemption allowing banks
to calculate trust and fiduciary compensation on a bankwide basis
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Exemptions for special accounts,
transferred accounts, and a de minimis number of accounts
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Defined terms relating
to the sweep accounts exception from the definition of broker
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Exemption for banks effecting
transactions in money market funds
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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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Exemption from the definition
of broker for banks effecting transactions in securities issued
pursuant to Regulation S
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Exemption from the definition
of broker for banks engaging in securities-lending transactions
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Exemption from the definition
of broker for banks effecting certain excepted or exempted
transactions in investment company securities
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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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Exemption for banks from
liability under section 29 of the Securities Exchange Act of 1934
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Exemption from the definition
of broker for banks for a limited period of time
