Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Details

• Publisher's site:
  https://www.fdic.gov/|FDIC.gov
• Corporate Authors:
  Federal Deposit Insurance Corporation (FDIC)
• Dataset Download URL:
  https://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-16468.pdf
• Format:
  PDF
• Release Date:
  08/31/2020
• Agencies Involved:
  Federal Deposit Insurance Corporation (FDIC) ; U.S. Securities and Exchange Commission (SEC) ; Securities Investor Protection Corporation (SIPC) ; Board of Governors of the Federal Reserve System (The Fed) ; U.S. Department of the Treasury ; U.S. Commodity Futures Trading Commission (CFTC)
• Law Involved:
  Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) ; Securities Investor Protection Act (SIPA) ; Securities Exchange Act of 1934 ; Regulatory Flexibility Act (RFA) ; Gramm-Leach-Bliley Act
• Related Regulation:
  17 CFR Part 302 ; Bankruptcy Code ; 17 CFR Part 190
• Source:
  FDIC Website/GovInfo
• Effective Date:
  10/30/2020
• Federal Register Citation Number:
  85 FR 53645
• CFR Number:
  12 CFR 380
• RIN Indentifier:
  RIN 3064–ZA21
• Other Agency Docket IDs:
  Release No. 34–89394; File No. S7–02–16
• Main Document Checksum:
  urn:sha-512:449e53b087b044ed325fe63d491d86cd406c8ae058ab9784034ce05ab25ca6b7a6d8337cfaee07231326f3b852f5413a54ed3fce283d8d3615ead6f7d4d8b9ba
• Download URL:
  https://archive.fdic.gov/view/fdic/13984/fdic_13984_DS1.pdf
• File Type:
  [PDF - 355.25 KB ]