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Comments on Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks

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Date Sort descending	Letter Type	Commenter Name
Sept. 8, 2008	Public Comment	Sarah A. Miller, General Counsel, ABA Securities Association

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-22-06

Release Number

34-56501

How to submit comments

Rules & Regulations

Enforcement & Litigation

Compliance

Comments on Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks

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Comments on Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks

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