Part 401 - EXEMPTIONS
- Section 401.1 - Exemption for organizations handling transactions in United States Savings Bonds
- Section 401.2 - Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities
- Section 401.3 - Exemption for financial institutions that are engaged in limited government securities brokerage activities
- Section 401.4 - Exemption for financial institutions engaged in limited government securities dealer activities
- Section 401.5 - Exemption for corporate credit unions transacting limited government securities business with other credit unions
- Section 401.6 - Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore
- Section 401.7 - Exemption for certain foreign government securities brokers or dealers