Regulation R Policy
The purpose of this Regulation R Policy Template is to address how a bank, credit union, or other type of 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.
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