Final Regulation R: Exceptions and Exemptions for Banks from the Definition of "Broker"
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This Document Has Been Retired.

Final Regulation R: Exceptions and Exemptions for Banks from the Definition of "Broker"

Filetype[PDF-1.20 MB]


  • Publisher's site:
  • Description:
    On October 3, 2007, the Board of Governors of the Federal Reserve System (Board) and the U.S. Securities and Exchange Commission (SEC) published the attached final rules that implement provisions of the Gramm-Leach-Bliley Act (GLBA) that except banks from the definition of "broker" under the Securities Exchange Act of 1934 when they conduct certain securities transactions. Known as "Regulation R," the rules clarify permissible bank brokerage activities that can be conducted under the GLBA exceptions. The Board and the SEC consulted with the FDIC, the Office of the Comptroller of the Currency, and the Office of Thrift Supervision in all phases of the rulemaking. Financial Institutions will have until the first day of their first fiscal year that commences after September 30, 2008, to comply with the requirements in Regulation R.
  • Format:
  • Release Date:
  • Update Date:
  • Withdrawn Date:
  • Agencies Involved:
    Federal Deposit Insurance Corporation (FDIC);Board of Governors of the Federal Reserve System (The Fed);U.S. Securities and Exchange Commission (SEC);Office of the Comptroller of the Currency (OCC);Office of Thrift Supervision (OTS);
  • Fdic Employee Involved:
    Victoria M. Pawelski;Anthony J. DiMilo;
  • Law Involved:
    Gramm-Leach-Bliley Act (GLBA);Securities Exchange Act of 1934;
  • Related Regulation:
    Regulation R
  • Source:
    FDIC Website
  • Memorandum To:
    FDIC-Supervised Banks (Commercial and Savings)
  • Effective Date:
  • FIL Number:
  • Main Document Checksum:
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