i
Qualification Requirements for Transactions in Certain Securities
-
12/30/1996
[PDF-212.67 KB]
Details:
-
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: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:
