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Regulation R Policy

$125.00

The purpose of this Regulation R Policy Template is to address how a financial institution adheres to Regulation R – “Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934.”

Description

Regulation R Policy

The purpose of this Regulation R Policy Template is to address how a financial institution adheres to Regulation R – “Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934.”

Table of Contents

  • Purpose and Contents – Topic 1
  • Policy Statement – Topic 2
  • Definitions – Topic 3
  • Exemption for Certain Institutional Referrals – Topic 4
  • Exemption to Calculate Trust and Fiduciary Compensation – Topic 5
  • Exemption for Special or Transferred Accounts and Foreign Branches – Topic 6
  • Exemption for Transactions in Money Market Funds – Topic 7
  • Exemption for Accepting Orders – Topic 8
  • Exemption for Securities Issued Pursuant to Regulation S – Topic 9
  • Exemption for Engaging in Securities Lending Transactions – Topic 10
  • Exemption for Investment Company Securities – Topic 11
  • Exemption for Securities in an Employee Benefit Plan – Topic 12
  • Exemption from Liability Under Section 29 of the Securities Exchange Act – Topic 13
  • Audit Policy – Topic 14
  • Staff Training – Topic 15
  • Retention of Documentation – Topic 16

This Regulation R Policy Template (approximately 18 pages) is available to purchase from BankPolicies.com in Microsoft® Word format for $125.00.

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