(a) A bank is exempt from the definition of the term “dealer” under section 3(a)(5) of the Act (15 U.S.C. 78c(a)(5)), to the extent that, ...
(a) A bank is exempt from the definition of the term “dealer” under section 3(a)(5) of the Act, to the extent that, as a conduit ...
Mortgages, as defined in section 302(d) of the Emergency Home Finance Act of 1970, which are or have been sold by the Federal Home Loan ...
(a) Securities for which the filing of registration statements on Form 18 are authorized shall be exempt from the operation of sections 14 and 16 ...
(a) When used in this Rule the following terms shall have the meanings indicated: (1) The term whole loan mortgage means an evidence of indebtedness ...
(a) An investment contract security involving the direct ownership of specified residential real property shall be exempted from the provisions of sections 7(c) and 11(d)(1) ...
The term common trust fund as used in section 3(a)(12) of the Act shall include a common trust fund which is maintained by a bank ...
Any put, call, straddle, option, or privilege traded exclusively otherwise than on a national securities exchange and for which quotations are not disseminated through an ...
Rule 3a12-8 — Exemption for designated foreign government securities for purposes of futures trading
(a) When used in this Rule, the following terms shall have the meaning indicated: (1) The term designated foreign government security shall mean a security ...
(a) Direct participation program securities sold on a basis whereby the purchase price is paid to the issuer in one or more mandatory deferred payments ...