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."
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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