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:
  • Corporate Authors:
  • Content Notes:
    Cites FIL-9-94 and FIL-61-95

    Cites 61 FR 18470

  • 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;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:
  • 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:
  • RIN Indentifier:
    RIN 3064-AB85;RIN 1557-AB42;
  • Other Agency Docket IDs:
    Docket No. 96-29;Docket No. R-0950;
  • Main Document Checksum:
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  • File Type:

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