Sections 210.5-01 to 210.5-04 shall be applicable to financial statements filed for all persons except—
Registered investment companies (see §§ 210.6-01 to 210.6-10).
Employee stock purchase, savings and similar plans (see §§ 210.6A-01 to 210.6A-05).
Insurance companies (see §§ 210.7-01 to 210.7-05).
Bank holding companies and banks (see §§ 210.9-01 to 210.9-07).
Brokers and dealers when filing Form X-17A-5 [249.617] (see §§ 240.17a-5 and 240.17a-10 under the Securities Exchange Act of 1934).
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