SEC Delays Banks' Broker-Dealer Rule

Ferris, Craig T.
May 2001
Bond Buyer;05/14/2001, Vol. 336 Issue 31138, p5
Trade Publication
Reports on the issuance of temporary rules by the Securities and Exchange Commission to banks engaging the broker-dealer registration in the United States. Purpose of the temporary interim rule for banking industries; Provisions of the Gramm-Leach-Bliley Act; Freedom of banks to engage in municipal underwriting and brokerage activities.


Related Articles

  • And you thought bank regulators were tough.  // ABA Banking Journal;Jun90, Vol. 82 Issue 6, p12 

    Focuses on the condition of the banking industry in the U.S. Disapproval of bank regulatory policies; Role of the Securities and Exchange Commission (SEC) to protect the investing public; Interest of SEC chairman Richard C. Breeden on thrift and bank enforcement. INSET: Straight talk about...

  • SEC Reassures Banks on Broker Rule. Garver, Rob // American Banker;2/25/2002, Vol. 167 Issue 37, p24 

    Focuses on the reassurance of the Securities and Exchange Commission for the banking industry to comply with proposed changes to broker-dealer registration requirements in the U.S. Provisions of the Gramm-Leach-Bliley Act; Extension on the compliance date; Issuance of the final rule.

  • SEC becoming a force in bank enforcement.  // American Banker;10/2/1996, Vol. 161 Issue 189, p3 

    Reports on Securities and Exchange Commission's aggressive enforcement actions in the banking industry. Suitability intended to prevent bankers from selling a high-risk product to a person looking for a safe place to store excess cash; Percentage of banks which didn't make the appropriate...

  • SEC guideline likely to delay big-bank buybacks 3 months. Kaplan, Daniel // American Banker;3/21/1996, Vol. 161 Issue 55, p24 

    Reports that large banks in the United States planning share repurchases will have to delay them because of a Securities and Exchange Commission guideline. Names of the banks; SEC ruling for First Bank System Incorporated to suspend its share repurchase; Description of pooling-of-interest...

  • Senate impasse on SEC's funding to delay stock offerings, Levitt says. Meredith, Robyn // American Banker;10/6/1994, Vol. 159 Issue 193, p2 

    Reports on the delay faced by banks and other companies bringing new securities issues to the market because the stagnation of the of Securities and Exchange Commission's funding in the Senate. Details; Other bills; Related developments; Plans of the Senate.

  • Regulators look into allowances. Marshall, Jeffrey // U.S. Banker;May99, Vol. 109 Issue 5, p24 

    Focuses on the initiative of the United States Securities & Exchange Commission (SEC) to understand the process banks use to determine allowance for credit losses. Cooperation from bankers sought by the SEC; Plans by the agency to issue guidelines on appropriate methodologies.

  • Majority of FHLBs Meet Filing Deadline. Blackwell, Rob // American Banker;7/1/2005, Vol. 170 Issue 126, p2 

    The article discusses how at least seven of the 12 Federal Home Loan banks met the deadline Thursday for registering with the Securities and Exchange Commission. By press time the Boston, Chicago, Cincinnati, Indianapolis, New York, Pittsburgh and San Francisco banks had registered. A spokesman...

  • Regulators Consider Requiring Banks to Disclose More About Debt Levels. Wang, Marian // Pro Publica;9/12/2010, p14 

    A blog on attempts by banks of the U.S. to temporarily lower debt levels on the direction of the U.S. Securities & Exchange Commission (SEC) is presented.

  • SEC Wants Tougher Off-Balance-Sheet Rules. Davenport, Todd // American Banker;10/31/2002, Vol. 167 Issue 209, p4 

    Reports that the U.S. Securities and Exchange Commission has proposed rules that would disclose off-balance-sheet transactions and would continue to exempt most banks from registering as dealers when they engage in low-risk securities transactions. Inclusions of the off-balance-sheet items;...


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics