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.