Qualification Requirements for Transactions in Certain Securities
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

i

Qualification Requirements for Transactions in Certain Securities

Filetype[PDF-212.67 KB]


Details Related Documents You May Also Like

Details:

  • Publisher's site:
  • Corporate Authors:
    Federal Deposit Insurance Corporation (FDIC)
  • Content Notes:
    Cites FIL-9-94 and FIL-61-95

    Cites 61 FR 18470

  • Dataset Download URL:
  • Format:
    PDF
  • Release Date:
    12/30/1996
  • Agencies Involved:
    Federal Deposit Insurance Corporation (FDIC);Office of the Comptroller of the Currency (OCC);Board of Governors of the Federal Reserve System;Office 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 1934;Federal Deposit Insurance Act (FDI Act);Regulatory Flexibility Act (RFA);Paperwork Reduction Act of 1995;Unfunded 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 12;12 CFR Parts 208, 211;Exec. 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. 823;National 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:
    02/28/1997
  • Source:
    FDIC Website/GovInfo
  • Federal Register Citation Number:
    61 FR 68824
  • CFR Number:
    12 CFR Part 342
  • Form Number:
    Form SB;Form SBW;Form U-4B;Form U-5B;
  • OMB Number:
    1557-0142;7100-0282;
  • RIN Indentifier:
    RIN 3064-AB85;RIN 1557-AB42;
  • Other Agency Docket IDs:
    Docket No. 96-29;Docket No. R-0950;
  • Main Document Checksum:
  • Download URL:
  • File Type:

Supporting Files

  • No Additional Files
More +

Related Documents

You May Also Like

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

Version 3.27.1