17 CFR 247.100 - Definition

Cite as17 CFR 247.100
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5 practice notes
  • Part III
    • United States
    • Federal Register October 03, 2007
    • October 3, 2007
    ...and 17 CFR 247.781 (collectively ``Rule 781'') are effective on September 28, 2007. Regulations at 12 CFR 218.100 through 218.780 and 17 CFR 247.100 through 247.780 are effective December 3, 2007. Amendments affecting Part 240 of Title 17 are effective December 3, Compliance date: Banks are......
  • Separate Parts In This Issue Part III Federal Reserve System; Securities and Exchange Commission,
    • United States
    • Federal Register October 03, 2007
    • October 3, 2007
    ...and 17 CFR 247.781 (collectively ``Rule 781'') are effective on September 28, 2007. Regulations at 12 CFR 218.100 through 218.780 and 17 CFR 247.100 through 247.780 are effective December 3, 2007. Amendments affecting Part 240 of Title 17 are effective December 3, Compliance date: Banks are......
  • Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers
    • United States
    • Federal Register May 02, 2014
    • May 2, 2014
    ...Exemptions Relating to the ``Broker'' Exceptions for Banks, Exchange Act Release No. 56501 (Sept. 24, 2007), 72 FR 56514 (Oct. 3, 2007); 17 CFR 247.100-781. These exceptions and exemptions permit a bank to act as a broker or agent in securities transactions provided they satisfy certain con......
  • Economic Growth and Regulatory Paperwork Reduction Act of 1996 Amendments
    • United States
    • Federal Register March 14, 2016
    • March 14, 2016
    ...bank? --------------------------------------------------------------------------- \81\ See 15 U.S.C. 78c(a)(4). See also Regulation R, 17 CFR 247.100 et \82\ See FINRA Rule 3160. \83\ See OCC Bulletin 94-13, Non deposit Investment Sales Examination Procedures (Feb. 24, 1994) and OCC Bulleti......
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