Regulation R Policy - $125.00

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

The purpose of this policy 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."  This policy template (approximately 18 pages) is available to purchase from BankPolicies.com in Microsoft® Word format for $125.00.

Mix and Match Volume Pricing

Would you like to mix and match multiple policies, procedures or job descriptions and receive a special volume discount? Click here to see how much you can save.

Sample Request

Click here if you are a new financial institution client and are interested in receiving a sample version of this product by e-mail attachment.

Need help choosing the right bank policy products?

If you need help choosing the right documents for your financial institution or just need expert advice, BankPolicies.com is ready to help you.