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U.S. Code of Federal Regulations
Regulations most recently checked for updates: Sep 16, 2025
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Title 17
Chapter IV
Part 401 - 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 - Exemption for certain foreign government securities brokers or dealers.
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