ICA第3（b）（3）和第3(c)(6)对其他有关生产经营性公司也做了豁免规定。
（二） 其他法律法规监管的豁免
1． 银行、保险公司、储蓄和贷款协会
ICA第3(c)(3)豁免了任何银行或保险公司，任何储蓄和贷款协会，建筑和贷款协会，合作银行，宅基协会或类似机构，或任何接收人、监护人、清算人、清算代理、或类似的此类高级职员或个人；任何由银行管理、仅用作集体投资和再投资的共同信托基金或类似的基金，其中基金是由银行在其能力范围内作为受托人、执行人、管理人或监护人提供的。（Any bank or insurance company; any savings and loan association, building and loan association, cooperative bank, homestead association, or similar institution, or any receiver, conservator, liquidator, liquidating agent, or similar official or person thereof or therefor; or any common trust fund or similar fund maintained by a bank exclusively for the collective investment and reinvestment of moneys contributed thereto by the bank in its capacity as a trustee, executor, administrator, or guardian）
2． 养老基金(pension funds)
ICA第3(c)(11) 豁免了符合IRC第401条资格要求的任何雇员的股票红利、年金或利润分享信托，或1933年《
证券法》第3(a)(2)(C)所规定的政府计划，或仅由信托资产或政府计划资产组成、或由两种资产共同组成并由银行维持经营的集体信托基金。（Any employee’s stock bonus, pension, or profit-sharing trust which meets the requirements for qualification under section 401 of the Internal Revenue Code of 1986 [26 USCS § 401]; or any governmental plan described in section 3(a)(2)(C) of the Securities Act of 1933 [15 USCS § 77c(a)(2)(C)]; or any collective trust fund maintained by a bank consisting solely of assets of such trusts or governmental plans, or both.）
3． 经纪人（broker）、交易商（dealer）
ICA第3（c）（2）(A)豁免了任何主要从事承销和分销他人发行的证券、向客户出售证券、从事经纪人业务、市场中介业务，或进行一项或数项此类活动，并且把其作为正常总收入的主要来源的人。（ Any person primarily engaged in the business of underwriting and distributing securities issued by other persons, selling securities to customers, acting as broker, and acting as market intermediary, or any one or more of such activities, whose gross income normally is derived principally from such business and related activities。）第3（c）（2）(B) (i)中规定，在本项中，"市场中介"指在金融市场上，固定或相对固定地从事一种或多种金融合同交易业务、充当市场买方和卖方的人（For purposes of this paragraph，the term "market intermediary" means any person that regularly holds itself out as being willing contemporaneously to engage in, and that is regularly engaged in, the business of entering into transactions on both sides of the market for a financial contract or one or more such financial contracts）。按照该条款，具有"投资"性质的"投资银行"被《投资
公司法》豁免，不属于"投资公司"。
