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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Retired: This Document Has Been 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

Retired

01/14/1997
By Federal Deposit Insurance Corporation (FDIC)

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Withdrawn Date: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:

[PDF - 1.05 MB ]

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