Title 17--Commodity and Securities Exchanges

CHAPTER IV--DEPARTMENT OF THE TREASURY

PART 401--EXEMPTIONS

TEXT PDF401.1 Exemption for organizations handling transactions in United States Savings Bonds.
TEXT PDF401.2 Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities.
TEXT PDF401.3 Exemption for financial institutions that are engaged in limited government securities brokerage activities.
TEXT PDF401.4 Exemption for financial institutions engaged in limited government securities dealer activities.
TEXT PDF401.5 Exemption for corporate credit unions transacting limited government securities business with other credit unions.
TEXT PDF401.6 Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.
TEXT PDF401.7 Temporary exemption for certain government securities brokers and dealers terminating business on or before October 31, 1987.
TEXT PDF401.8 Temporary exemption for government securities brokers and dealers that are futures commission merchants registered with the CFTC.
TEXT PDF401.9 Exemption for certain foreign government securities brokers or dealers.

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