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U.S. Securities and Exchange Commission


Division of
Trading and Markets


About the Division

Broker-Dealers

Banks and Other Depository Institutions

Credit Rating Agencies

Exchanges

Over-the-Counter Markets

ECNs/Alternative Trading Systems

National Market System

Municipal Markets

Clearing Agencies

Transfer Agents

Additional Topics

Frequently Requested Documents

 

Division of Trading and Markets

Banks and Other Depository Institutions

Agencies Adopt Final Rules to Implement the Bank 'Broker' Provisions of the Gramm-Leach-Bliley Act
(Press Release No. 2007-198; September 24, 2007)

Definitions of Terms and Exemptions Relating to the "Broker" Exceptions For Banks
(Final Rule Release No. 34-56501; September 24, 2007)

Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules
(Final Rule Release No. 34-56502; September 24, 2007)

Staff Compliance Guide to Banks on Dealer Statutory Exceptions and Rules

Regulation R: Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934 — A Small Entity Compliance Guide

 

http://www.sec.gov/divisions/marketreg/mrbanks.shtml

Modified: 10/16/2014