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Regulatory Information
2002_register
executive
2010-09-23
article
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
Part III
Proposed Rules
D09002ee1bded0526
D09002ee1bded05f2
United States
Securities and Exchange Commission
originator
org
United States Government Agency or Subagency
The Securities and Exchange Commission is proposing to amend its rule granting an exemption to banks from dealer registration for certain de minimis riskless principal transactions, to amend certain of its rules that define terms used in the bank exceptions to dealer registration, and to grant a new exemption to banks from broker and dealer registration for certain securities lending under the Securities Exchange Act of 1934. These rules address certain of the exceptions for banks from the definitions of ``broker'' and ``dealer'' that were added to the Securities Exchange Act of 1934 by the Gramm-Leach-Bliley Act.
67 FR 67496
https://www.govinfo.gov/app/details/FR-2002-11-05/02-28097
02-28097
fr05no02-21
RIN 3235-AI19
8010-01-P
Release No. 34-46745
File No. S7-41-02
https://www.govinfo.gov/app/details/FR-2002-11-05/02-28097
https://www.govinfo.gov/content/pkg/FR-2002-11-05/html/02-28097.htm
https://www.govinfo.gov/content/pkg/FR-2002-11-05/pdf/02-28097.pdf
Broker-Dealers
Reporting and Recordkeeping Requirements
Securities
12 p.
67496
67507
67 FR 67496
Code of Federal Regulations
Title 17 Part 240
17 CFR Part 240
Regulation Identification Number 3235-AI19
RIN 3235-AI19
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934; Federal Register Vol. 67, Issue
PRORULE
02-28097
III
SECURITIES AND EXCHANGE COMMISSION
2002-12-05
Release No. 34-46745
File No. S7-41-02
8010-01-P
02-28097
Proposed rule.
The Securities and Exchange Commission is proposing to amend its rule granting an exemption to banks from dealer registration for certain de minimis riskless principal transactions, to amend certain of its rules that define terms used in the bank exceptions to dealer registration, and to grant a new exemption to banks from broker and dealer registration for certain securities lending under the Securities Exchange Act of 1934. These rules address certain of the exceptions for banks from the definitions of ``broker'' and ``dealer'' that were added to the Securities Exchange Act of 1934 by the Gramm-Leach-Bliley Act.
Comments should be submitted on or before December 5, 2002.
Catherine McGuire, Chief Counsel; Lourdes Gonzalez, Assistant Chief Counsel; or Linda Stamp Sundberg, Attorney Fellow; (202) 942-0073, Office of the Chief Counsel, Division of Market Regulation, Securities and Exchange Commission, 450 5th Street., NW, Washington, DC 20549-1001.
Broker-Dealers
Reporting and Recordkeeping Requirements
Securities
Securities:
Banks, savings associations, and savings banks; definition of terms and specific exemptions,
rule-comments@sec.gov
http://www.sec.gov
Federal Register
Vol. 67, no. 214
Office of the Federal Register, National Archives and Records Administration
2002-11-05
continuing
daily
deposited
born digital
235 p.
Table of Contents:
AE 2.7:
GS 4.107:
AE 2.106:
KF70.A2
https://www.govinfo.gov/app/details/FR-2002-11-05
P0b002ee1809a93d0
0097-6326
0042-1219
0364-1406
769-004-00000-9
000582072
f:fr05no02
https://www.govinfo.gov/app/details/FR-2002-11-05
https://www.govinfo.gov/content/pkg/FR-2002-11-05/pdf/FR-2002-11-05.pdf
https://www.govinfo.gov/content/pkg/FR-2002-11-05/xml/FR-2002-11-05.xml
fdlp
67283
67507
DGPO
2010-09-23
2023-05-04
FR-2002-11-05
machine generated
eng
FR
FR-2002-11-05
67
214