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6 Resources for

gramm-leach-bliley act and sec

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SEC Issues Proposed Bank Broker-Dealer Rules; SEC and Banking Staff Discuss Proposal at Conference Co-Hosted by Goodwin Procter: The SEC issued its long awaited revised regulation to implement the "push-out" exemptions for banks from broker-dealer ("BD") registration provided by the Gramm-Leach-Bliley Act of 1999 ("GLBA"). The regulation, contained in a new proposed Regulation B, i The SEC issued its long awaited revised regulation...; Tags: bank, banking, Gramm-Leach-Bliley Act, regulation, SEC; Research articles 2004-06-23
SEC, Fed approve rules for broker provisions of GLBA: New rules that will implement the bank broker provisions of the Gramm-Leach-Bliley Act of 1999 have been approved by the securities and Exchange Commission. The sec worked jointly with the Federal Reserve Board on the rules and the Fed voted on the rules New rules that will implement the bank...; Tags: Federal Reserve Board, Gramm-Leach-Bliley Act, SEC, sec; Research articles 2007-11-01
SEC Finalizes Rules Concerning Bank "Dealer" Exemption.: The SEC finalized two rule amendments and a new rule (collectively, the "Dealer Rules") under the Securities Exchange Act of 1934 ("Exchange Act") that address bank exemptions from "dealer" registration under the Gramm-Leach-Bliley Act of 1999 (the The SEC finalized two rule amendments and...; Tags: bank, exemption, Gramm-Leach-Bliley Act, SEC; Research articles 2003-02-12
SEC Proposes Rule Amendments and a New Rule Addressing the Bank Exemptions to Dealer Registration under the Gramm-Leach-Bliley Act.: The SEC proposed two rule amendments and a new rule (collectively, the "Dealer Rules") under the Securities Exchange Act of 1934 ("Exchange Act") that address bank exemptions to "dealer" registration under the Gramm-Leach-Bliley Act of 1999 (the "GLBA"). The SEC proposed two rule amendments...; Tags: bank, exemption, Gramm-Leach-Bliley Act, SEC; Research articles 2002-11-13
SEC Further Extends Blanket Exemption for Banks and Thrifts from Broker Registration Requirement in the GLBA.: The SEC extended the temporary blanket exemption of banks, savings associations and savings banks from the "broker" registration requirements under the Gramm-Leach-Bliley Act of 1999 (the "GLBA") until November 12, 2004. Effective May 12, 2001, the blanke The SEC extended the temporary blanket exemption of...; Tags: bank, exemption, Gramm-Leach-Bliley Act, SEC; Research articles 2003-04-16

SEC Further Extends Blanket Exemption for Banks and Thrifts from Broker Registration Requirement in the GLBA: The SEC extended the temporary blanket exemption of banks, savings associations and savings banks from the "broker" registration requirements under the Gramm-Leach-Bliley Act of 1999 (the "GLBA") until November 12, 2004. Effective May 12, 2001, the blanke The SEC extended the temporary blanket exemption of...; Tags: bank, exemption, Gramm-Leach-Bliley Act, SEC; Research articles 2003-04-22

Additional Resources

Meltdown: What Happened and Where We Go From Here: Meltdown: What Happened and Where We Go From HereBoth parties are to blameAnd a few homeowners that knew they could not make the payments...At the same time that Phil Gramm was helping the US catch up to European deregulation by allowing all sorts of financial companies to merge, President Clinton...; Tags: Mortgages, Financial Planning, Financial services, interest rate, meltdown, mortgage, real estate; Discussion threads 2008-10-01