Securities Transaction Requirements: Joint Agency Proposal to Establish Qualification Requirements for Banks and Bank Securities Representatives Involved in the Retail Solicitation, Recommendation, Purchase, or Sale of Certain Securities

Details

• Publisher's site:
  https://www.fdic.gov
• Corporate Authors:
  Federal Deposit Insurance Corporation (FDIC)
• Dataset Download URL:
  https://www.fdic.gov/news/inactive-financial-institution-letters/1997/fil9702.html
• Format:
  PDF
• Release Date:
  01/14/1997
• Update Date:
  07/16/1999
• Withdrawn Date:
  Not Available
• Agencies Involved:
  Federal Deposit Insurance Corporation (FDIC) ; Board of Governors of the Federal Reserve System (The Fed) ; Office of the Comptroller of the Currency (OCC)
• Fdic Employee Involved:
  Nicholas J. Ketcha Jr. ; William A. Stark ; Lisa D. Arquette ; Patrick J. McCarty
• Other Institutions Involved:
  National Association of Securities Dealers, Inc. (NASD)
• Related Regulation:
  12 CFR Part 342
• Comment Period End Date:
  02/28/1997
• Source:
  FDIC Website
• Memorandum To:
  Insured Commercial Banks and FDIC-Supervised Savings Banks
• FIL Number:
  FIL-02-97
• Language:
  Eng
• Download URL:
  https://archive.fdic.gov/view/fdic/7991/fdic_7991_DS1.pdf
• File Type:
  [PDF - 1.05 MB]
• Collection(s):
  Inactive Financial Institution Letters (FILs)
• Main Document Checksum:
  urn:sha256:2491e8fcaa899fe69f0dc05ea37700cc09b31433987f6d1d014b3856b1eef137