Site Map | Text Size:
|Home||About the OCC||News and Issuances||Publications||Tools and Forms||Topics|
Gramm–Leach–Bliley Act (GLBA), Regulation R, and Retail Nondeposit Investment Sales
The Gramm-Leach-Bliley Act sets forth certain exceptions for banks from the broker-dealer registration requirements of the Securities and Exchange Act of 1934. The final rules, known as Regulation R, implement certain provisions of the GLBA. Retail Nondeposit Investment Sales involve the sale to retail customers of mutual funds, annuities, and other nondeposit investments.
Retail Nondeposit Investment Sales (Comptroller’s Handbook, February 1994)
Bank Securities Activities: SEC's and Federal Reserve's Final Regulation R (OCC 2007-42, October 2007)
Nondeposit Investment Sales Examination Procedures (OCC Bulletin 94-13, February 1994)
Retail Sales of Nondeposit Investments: Interagency Statement (OCC 95-52, September 1995)