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Federal regulations · Through 2026-08-25 · Newer source version available

17 CFR 401.1: Exemption for organizations handling transactions in United States Savings Bonds.

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Where this section sits in the code
  1. Title 17—Commodity and Securities Exchanges
  2. CHAPTER IV—DEPARTMENT OF THE TREASURY
  3. SUBCHAPTER A—REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
  4. PART 401—EXEMPTIONS

An organization that handles United States Savings Bond transactions, including a qualified issuing or paying agent or an organization that accommodates customers or employees by forwarding requested transactions to qualified issuing or paying agents or the Treasury and whose transactions in government securities are limited to these transactions and such other activities that are exempted by the regulations under this subchapter, shall be exempt from the provisions of section 15C (a), (b) and (d) of the Act (15 U.S.C. 78o-5 (a), (b), (d)) and the regulations of this subchapter. For the purposes of this section, the term “United States Savings Bond” means any savings-type security offered by the Treasury, including all series of United States Savings Bonds, United States Savings Notes and United States Savings Stamps.

Collected 2026-08-27T02:24:31Z. Source file · JSON

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