Qualification Requirements for Transactions in Certain Securities
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Qualification Requirements for Transactions in Certain Securities

Filetype[PDF-212.67 KB]


  • Publisher's site:
  • Content Notes:
    Cites FIL-9-94 and FIL-61-95

    Cites 61 FR 18470

  • 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 SystemOffice of Thrift Supervision (OTS)U.S. Securities and Exchange Commission (SEC)General Accounting Office (GAO)Municipal Securities Rulemaking Board (MSRB)Office of Management and Budget (OMB)
  • Law Involved:
    Securities Exchange Act of 1934Federal Deposit Insurance Act (FDI Act)Regulatory Flexibility Act (RFA)Paperwork Reduction Act of 1995Unfunded Mandates Reform Act of 1995
  • Other Institutions Involved:
    National Association of Securities Dealers (NASD)New York Stock Exchange, Inc. (NYSE)
  • Related Regulation:
    12 CFR Part 1212 CFR Parts 208, 211Exec. Order 12866
  • Related Legal Case:
    Independent Bankers Association v. Heimann, 613 F.2d 1164, 1168-69 (D.C. Cir. 1979), cert. denied, 449 U.S. 823National Petroleum Refiners Assoc. v. FTC, 482 F.2d 672, 680-81 (D.C. Cir. 1973), cert. denied, 415 U.S. 951 (1973)
  • Comment Period End Date:
  • Source:
    FDIC Website/GovInfo
  • Federal Register Citation Number:
    61 FR 68824
  • CFR Number:
    12 CFR Part 342
  • Form Number:
    Form SBForm SBWForm U-4BForm U-5B
  • OMB Number:
  • RIN Indentifier:
    RIN 3064-AB85RIN 1557-AB42
  • Other Agency Docket IDs:
    Docket No. 96-29Docket No. R-0950
  • Main Document Checksum:
  • File Type:

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