Code of Federal Regulations > Title 12 > Chapter II > Part 218 - PART 218—EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R)

U.S. Code of Federal Regulations

Regulations most recently checked for updates: Aug 27, 2025

§ 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.