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eBook details

• Title: Definitions of Terms and Exemptions Relating to the Broker Exceptions for Banks (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)
• Author : The Law Library
• Release Date : January 21, 2018
• Genre: Law,Books,Professional & Technical,
• Pages : * pages
• Size : 479 KB

Description

The Law Library presents the complete text of the Definitions of Terms and Exemptions Relating to the Broker Exceptions for Banks (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition).
Updated as of May 29, 2018

The Board and the Commission jointly are adopting a single set of final rules that implement certain of the exceptions for banks from the definition of the term “broker” under Section 3(a)(4) of the Securities Exchange Act of 1934 (“Exchange Act”), as amended by the Gramm-Leach-Bliley Act (“GLBA”). The rules define terms used in these statutory exceptions and include certain related exemptions. In developing these rules, the Agencies have consulted with, and sought the concurrence of, the Office of the Comptroller of the Currency (“OCC”), the Federal Deposit Insurance Corporation (“FDIC”) and the Office of Thrift Supervision (“OTS”), and have taken into consideration all comments received on the proposed rules issued in December 2006. The rules are intended, among other things, to facilitate banks' compliance with the Exchange Act and the GLBA.

This ebook contains:
- The complete text of the Definitions of Terms and Exemptions Relating to the Broker Exceptions for Banks (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)
- A dynamic table of content linking to each section
- A table of contents in introduction presenting a general overview of the structure

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