Regulation R: Bank Broker Dealer Compliance Guide

49 Pages Posted: 22 Aug 2010

Date Written: October 30, 2007

Abstract

When banks engage in securities transactions for their customers, or enter into arrangements under which broker-dealers sell securities to their customers, they may become subject to registration and regulation under the Securities Exchange Act of 1934 unless they qualify for an exemption under the law. This Compliance Guide will assist banks and their securities partners in structuring their activities to comply with the various available bank exemptions, including those set forth in Regulation R, a joint regulation issued by the Securities and Exchange Commission and the Federal Reserve Board.

Keywords: Regulation R, Bank, Securities, Bank Brokerage Activities, Bank Securities Activities, Gramm-Leach-Bliley Act, Functional Regulation, Chiefly Compensated Test

Suggested Citation

Fein, Melanie L., Regulation R: Bank Broker Dealer Compliance Guide (October 30, 2007). Available at SSRN: https://ssrn.com/abstract=1663288 or http://dx.doi.org/10.2139/ssrn.1663288

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