Exceptions for Banks from the Definition of Broker - Proposed Regulation R: Request for Comment by the SEC and Federal Reserve
Advanced Search
Select up to three search categories and corresponding keywords using the fields to the right. Refer to the Help section for more detailed instructions.

Search our Collections & Repository

All these words:

For very narrow results

This exact word or phrase:

When looking for a specific result

Any of these words:

Best used for discovery & interchangable words

None of these words:

Recommended to be used in conjunction with other fields

Language:

Dates

Publication Date Range:

to

Document Data

Title:

Document Type:

Library

Collection:

Series:

People

Author:

Help
Clear All

Query Builder

Query box

Help
Clear All

For additional assistance using the Custom Query please check out our Help Page

!

Retired


This Document Has Been Retired.

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:
  • 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.
  • 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  • Withdrawn Date: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:
  • File Type:

You May Also Like

Checkout today's featured content at archive.fdic.gov

Version 3.25