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

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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

01/14/1997
Inactive Financial Institution Letters (FILs)

[PDF-1.05 MB]

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Details:

Publisher's site:

https://www.fdic.gov
Corporate Authors:

Federal Deposit Insurance Corporation (FDIC)
Subject:

[+]

Lending / Investments
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Withdrawn Date: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
Main Document Checksum:

[+]

urn:sha256:2491e8fcaa899fe69f0dc05ea37700cc09b31433987f6d1d014b3856b1eef137
Download URL:

https://archive.fdic.gov/view/fdic/7991/fdic_7991_DS1.pdf
File Type:

No Additional Files

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Retired

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

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