§ 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 Exemption for certain foreign government securities brokers or dealers
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Terms Used In 17 CFR Part 401 - Exemptions

  • 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.
  • Fiduciary: A trustee, executor, or administrator.
  • National Credit Union Administration: The federal regulatory agency that charters and supervises federal credit unions. (NCUA also administers the National Credit Union Share Insurance Fund, which insures the deposits of federal credit unions.) Source: OCC
  • Service of process: The service of writs or summonses to the appropriate party.