Exceptions for Banks from the Definition of Broker - Proposed Regulation R: Request for Comment by the SEC and Federal Reserve
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Exceptions for Banks from the Definition of Broker - Proposed Regulation R: Request for Comment by the SEC and Federal Reserve

Filetype[PDF-28.03 KB]



Details:

  • Publisher's site:
  • Corporate Authors:
  • Description:
    The FDIC is notifying FDIC-supervised banks of the attached joint proposed rulemaking by the Securities and Exchange Commission (SEC) and the Board of Governors of the Federal Reserve System that would implement the statutory exceptions from the definition of "broker" contained in the Gramm-Leach-Bliley Act (GLBA). The proposed regulation was drafted in consultation with the FDIC, the Office of the Comptroller of the Currency, and the Office of Thrift Supervision, and is designed to protect investors in a manner that does not unduly disrupt current bank business practices. Comments are due to the SEC or the Federal Reserve by March 26, 2007.
  • Subject:
  • Dataset Download URL:
  • Format:
  • Release Date:
    01/30/2007
  • Update Date:
    03/10/2008
  • Withdrawn Date:
    Not Available
  • Agencies Involved:
    Federal Deposit Insurance Corporation (FDIC);U.S. Securities and Exchange Commission (SEC);Board of Governors of the Federal Reserve System (The Fed);Office of the Comptroller of the Currency (OCC);Office of Thrift Supervision (OTS);
  • Fdic Employee Involved:
    John M. Jackwood;Anthony J. DiMilo;
  • Law Involved:
    Gramm-Leach-Bliley Act (GLBA)
  • Comment Period End Date:
    03/26/2007
  • Source:
    FDIC Website
  • Memorandum To:
    FDIC-Supervised Banks (Commercial and Savings)
  • FIL Number:
    FIL-8-2007
  • Main Document Checksum:
  • Download URL:
  • File Type:

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