federal_register: 07-4769

All Federal Register documents (rules, proposed rules, notices, presidential documents) from 1994 to present. Nearly 1M documents with full-text search.

Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API

This data as json

document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
07-4769 Definitions of Terms and Exemptions Relating to the “Broker” Exceptions for Banks Rule 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. 2007-10-03 2007 10 https://www.federalregister.gov/documents/2007/10/03/07-4769/definitions-of-terms-and-exemptions-relating-to-the-broker-exceptions-for-banks https://www.govinfo.gov/content/pkg/FR-2007-10-03/pdf/07-4769.pdf Federal Reserve System; Securities and Exchange Commission 188,466 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... 3235-AJ74

Links from other tables