Lapas attēli
PDF
ePub

a whole and which are not directly related to the day-to-day conduct of the bank's municipal securities dealer activities, shall not disqualify the unit hereinbefore described as a separately identifiable department or division of the bank or require that such directors or officers be considered as part of such unit.

(d) The fact that the bank's municipal securities dealer activities are conducted in more than one geographic organizational or operational unit of the bank shall not preclude a finding that the bank has a separately identifiable department or division for purposes of this rule, provided, however, that all such units are identifiable and that the requirements of subparagraphs (1) and (2) of paragraph (a) of this rule are met with respect to each such unit. All such geographic, organizational or operational units of the bank shall be considered in the aggregate as the separately identifiable department or division of the bank for purposes of this rule.

INDEX TO APPENDIX

In general, items appear in the appendix in the order in which they
are codified in the United States Code. References in brackets [ ] are
to the United States Code.

[blocks in formation]

Exclusive jurisdiction of Commodity Futures
Trading Commission.

511

[7 U.S.C. 2a] ................. Puts, calls, and other options on securities and

511

groups or indexes of securities; contracts for
future delivery of groups or indexes of securi-
ties.

[blocks in formation]

[12 U.S.C. 1455(a), (g)] . Exemption for securities of Federal Home Loan

Mortgage Corporation.

Disclosure and solicitation after filing of bank-
ruptcy chapter 11 petition.

516

SEC standing to object to confirmation of cer-
tain bankruptcy chapter 11 plans.

517

Exemption for certain transactions subject to
bankruptcy.

517

Fiduciary powers of national banks referred to
in Section 3(a)(6) of Securities Exchange Act.
Submissions by SEC to Congress relating to
legislation.

521

522

523

Definition of "cooperative association" referred
to in section 12(g)(2)(E) of Securities Ex-
change Act.

524

525

[blocks in formation]

Exemption for certain Government National
Mortgage Association securities.

526

[12 U.S.C. 1723c]

[12 U.S.C. 1719(d)-(e)]..

Exemption for securities of Federal National
Mortgage Association and Government Na-
tional Mortgage Association.

[12 U.S.C. 1831m-1] ..... Annunzio-Wylie Anti-Money Laundering Act .....

Exemption for certain securities of Federal Na-
tional Mortgage Association.

526

527

529

INDEX TO APPENDIX-Continued

In general, items appear in the appendix in the order in which they
are codified in the United States Code. References in brackets [ ] are
to the United States Code.

[merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][ocr errors][ocr errors][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small][merged small]

Exemption for securities of the International Fi-
nance Corporation.

586

[22 U.S.C. 283h-283i] ... Exemption for securities of Inter-American De-

587

velopment Bank.

[blocks in formation]

INDEX TO APPENDIX-Continued

In general, items appear in the appendix in the order in which they
are codified in the United States Code. References in brackets [ ] are
to the United States Code.

[blocks in formation]
« iepriekšējāTurpināt »