EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER

Rule 100 — Definition.

Rule 700 —  Defined terms relating to the networking exception from the definition of “broker.”

Rule 701 —  Exemption from the definition of “broker” for certain institutional referrals.

Rule 721 —  Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”]

Rule 722 — Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.

Rule 723 —  Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.

Rule 740 —  Defined terms relating to the sweep accounts exception from the definition of “broker.”

Rule 741 —  Exemption for banks effecting transactions in money market funds.

Rule 760 —  Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.

Rule 771 —  Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.

Rule 772 —  Exemption from the definition of “broker” for banks engaging in securities lending transactions.

Rule 775 —  Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.

Rule 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.

Rule 780 —  Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.

Rule 781 —  Exemption from the definition of “broker” for banks for a limited period of time.