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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
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Release Date:01/14/1997
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Update Date:07/16/1999
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Withdrawn Date:Not Available
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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);
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Fdic Employee Involved:Nicholas J. Ketcha Jr.;William A. Stark;Lisa D. Arquette;Patrick J. McCarty;
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Other Institutions Involved:National Association of Securities Dealers, Inc. (NASD)
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Related Regulation:12 CFR Part 342
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Comment Period End Date:02/28/1997
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Source:FDIC Website
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Memorandum To:Insured Commercial Banks and FDIC-Supervised Savings Banks
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FIL Number:FIL-02-97
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