United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2007_register executive 2010-09-22 article Part III Rules and Regulations D09002ee1c80a35aa D09002ee1c80a36a6 United States Federal Reserve System originator org United States Government Agency or Subagency United States Securities and Exchange Commission originator org United States Government Agency or Subagency 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. 72 FR 56514 https://www.govinfo.gov/app/details/FR-2007-10-03/07-4769 07-4769 fr03oc07-15 RIN 3235-AJ74 8011-01-P; 6210-01-P Regulation R Docket No. R-1274 Release No. 34-56501 File No. S7-22-06 https://www.govinfo.gov/app/details/FR-2007-10-03/07-4769 https://www.govinfo.gov/content/pkg/FR-2007-10-03/html/07-4769.htm https://www.govinfo.gov/content/pkg/FR-2007-10-03/pdf/07-4769.pdf Banks Brokers Securities Broker-Dealers Reporting and Recordkeeping Requirements 49 p. 56514 56562 72 FR 56514 Title 12 Part 218 12 CFR Part 218 Title 17 Part 240 17 CFR Part 240 Title 17 Part 247 17 CFR Part 247 RIN 3235-AJ74 Definitions of Terms and Exemptions Relating to the “Broker” Exceptions for Banks; Federal Register Vol. 72, Issue RULE 07-4769 III FEDERAL RESERVE SYSTEM SECURITIES AND EXCHANGE COMMISSION 2007-09-28 Regulation R Docket No. R-1274 Release No. 34-56501 File No. S7-22-06 8011-01-P; 6210-01-P 07-4769 Final 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.

Effective dates: The addition of parts 12 CFR 218 and 17 CFR 247 is effective September 28, 2007. Regulations at 12 CFR 218.781 and 17 CFR 247.781 (collectively "Rule 781") are effective on September 28, 2007. Regulations at 12 CFR 218.100 through 218.780 and 17 CFR 247.100 through 247.780 are effective December 3, 2007. Amendments affecting Part 240 of Title 17 are effective December 3, 2007. BOARD: Kieran J. Fallon, Assistant General Counsel, (202) 452-5270, Andrea Tokheim, Counsel, (202) 452-2300, or Brian Knestout, Attorney, (202) 452-2249, Legal Division, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue, NW., Washington, DC 20551. Users of Telecommunication Device for Deaf (TDD) only, call (202) 263-4869. Banks Brokers Securities Broker-Dealers Reporting and Recordkeeping Requirements Securities: Broker and dealer definitions; order extending temporary exemption of banks, http://www.nccusl.org http://www2.standardandpoors.com/spf/pdf/products/Compustat2006.pdf Vol. 72, no. 191 Office of the Federal Register, National Archives and Records Administration 2007-10-03 continuing daily deposited born digital 386 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2007-10-03 P0b002ee18093fd9a 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr03oc07 https://www.govinfo.gov/app/details/FR-2007-10-03 https://www.govinfo.gov/content/pkg/FR-2007-10-03/pdf/FR-2007-10-03.pdf https://www.govinfo.gov/content/pkg/FR-2007-10-03/xml/FR-2007-10-03.xml fdlp 56241 56616 DGPO 2010-09-22 2024-06-05 FR-2007-10-03 machine generated eng FR FR-2007-10-03 72 191