§ 218.100 Definition
§ 218.700 Defined terms relating to the networking exception from the definition of “broker.”
§ 218.701 Exemption from the definition of “broker” for certain institutional referrals
§ 218.721 Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
§ 218.722 Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis
§ 218.723 Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts
§ 218.740 Defined terms relating to the sweep accounts exception from the definition of “broker.”
§ 218.741 Exemption for banks effecting transactions in money market funds
§ 218.760 Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts
§ 218.771 Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S
§ 218.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions
§ 218.775 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities
§ 218.776 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in a company’s securities for its employee benefit plans
§ 218.780 Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934
§ 218.781 Exemption from the definition of “broker” for banks for a limited period of time
lawyer at desk

Ask a legal question, get an answer ASAP!
Click here to chat with a lawyer about your rights.

Terms Used In 12 CFR Part 218 - Exceptions for Banks From the Definition of Broker in the Securities Exchange Act of 1934 (Regulation R)

  • Affidavit: A written statement of facts confirmed by the oath of the party making it, before a notary or officer having authority to administer oaths.
  • Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
  • Appropriation: The provision of funds, through an annual appropriations act or a permanent law, for federal agencies to make payments out of the Treasury for specified purposes. The formal federal spending process consists of two sequential steps: authorization
  • Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. Source: OCC
  • Conviction: A judgement of guilt against a criminal defendant.
  • Dependent: A person dependent for support upon another.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Executive communication: A message sent to the Senate by the President or other executive branch official. Presidential veto messages are an example of an "executive communication."
  • Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
  • Gift: A voluntary transfer or conveyance of property without consideration, or for less than full and adequate consideration based on fair market value.
  • Guardian: A person legally empowered and charged with the duty of taking care of and managing the property of another person who because of age, intellect, or health, is incapable of managing his (her) own affairs.
  • Inter vivos: Transfer of property from one living person to another living person.
  • Markup: The process by which congressional committees and subcommittees debate, amend, and rewrite proposed legislation.
  • Oath: A promise to tell the truth.
  • Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
  • Public law: A public bill or joint resolution that has passed both chambers and been enacted into law. Public laws have general applicability nationwide.
  • Remand: When an appellate court sends a case back to a lower court for further proceedings.
  • Statute: A law passed by a legislature.
  • Testimony: Evidence presented orally by witnesses during trials or before grand juries.
  • Trustee: A person or institution holding and administering property in trust.