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

For very narrow results

When looking for a specific result

Best used for discovery & interchangable words

Recommended to be used in conjunction with other fields

Dates

to

Document Data
Library
People
Clear All
Clear All

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

!

Retired


This Document Has Been Retired.

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

Filetype[PDF-1.20 MB]


Details Supporting Files You May Also Like

Details:

  • Publisher's site:
  • Corporate Authors:
    Federal Deposit Insurance Corporation (FDIC)
  • 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.
  • Subject:
  • Dataset Download URL:
  • Format:
    PDF
  • Release Date:
    10/25/2007
  • Update Date:
    11/26/2018
  • Withdrawn Date:
    12/01/2018
  • 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:
    9/28/2007;12/3/2007;
  • FIL Number:
    FIL-92-2007
  • Main Document Checksum:
  • Download URL:
  • File Type:

You May Also Like

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

Version 3.26.1