Government Securities Sales Practices
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Government Securities Sales Practices

Filetype[PDF-151.90 KB]


  • Publisher's site:
  • Corporate Authors:
  • Content Notes:
    Cites 60 FR 54530, 61 FR 11655
  • Dataset Download URL:
  • Format:
  • Release Date:
  • Agencies Involved:
    Federal Deposit Insurance Corporation (FDIC);Office of the Comptroller of the Currency (OCC);Board of Governors of the Federal Reserve System;U.S. Securities and Exchange Commission (SEC);Municipal Securities Rulemaking Board (MSRB);
  • Law Involved:
    Government Securities Act Amendments of 1993;Securities Exchange Act of 1934;Regulatory Flexibility Act (RFA);Paperwork Reduction Act of 1995;Unfunded Mandates Reform Act of 1995;Investment Advisors Act;
  • Other Institutions Involved:
    National Association of Securities Dealers (NASD)
  • Related Regulation:
    12 CFR Part 13;12 CFR Parts 208, 211;12 CFR 261.8;17 CFR 400.1(d), 401;Exec. Order 12866;
  • Related Legal Case:
    Touche Ross & Co. v. Redington, 442 U.S. 560 (1979)
  • Comment Period End Date:
  • Source:
    FDIC Website/GovInfo
  • Federal Register Citation Number:
    61 FR 18470
  • CFR Number:
    12 CFR Part 368
  • RIN Indentifier:
    RIN 3064-AB66;RIN 1557-AB52;
  • Other Agency Docket IDs:
    Dockett No. 96-09;Regulations H and K; Docket No. R-0921;
  • Main Document Checksum:
  • Download URL:
  • File Type:

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