SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission

  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements



  Information for...


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

[Release No. 34-56501; File No. S7-22-06]

Sep. 8, 2008 Sarah A. Miller, General Counsel, ABA Securities Association



Modified: 12/03/2008