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Last update: 04/20/14

Securities Activities



Date Title Publication
03/29/2007 ICBA Commends Agencies for Proposed SEC Regulation R News Release
03/26/2007 SEC Regulation R Letter to Regulators
12/15/2006 SEC Proposes New Bank Broker Rules IWR
04/28/2006 SEC Chairman Addresses SOX, Fannie and Bank Securities Activities WWR
09/02/2004 ICBA Critical of SEC Proposed Regulation B News Release
09/01/2004 SEC Regulation B Letter to Regulators
08/27/2004 Last Chance to Comment on SEC Bank Securities Activities Rule WWR
08/20/2004 Comments Needed on SEC Rules Affecting Bank Securities and Trust Activities WWR
07/07/2004 Proposal to Partially Exempt Thrift Institutions as Investment Advisers Letter to Regulators
06/04/2004 ICBA Concerned About Regulatory Burden News Release
06/04/2004 SEC Proposes Broker Exceptions for Banks WWR
05/16/2003 SEC Issues Rules on Filing and Posting Insider Trades WWR
05/09/2003 ICBA Responds to NASDAQ and NYSE Proposals WWR
08/06/2002 Recordkeeping and Confirmation Requirements for Securities Transactions; Fiduciary Powers of Savings Associations Letter to Regulators
06/21/2002 OTS Broker-Dealer Rule WWR
05/03/2002 FDIC Cautions Banks on Custodial Relationships with Broker-Dealers WWR
03/08/2002 Reminder About Delay in GLBA Compliance Deadline WWR
01/04/2002 Warning on SIPC Coverage: None for Banks WWR
08/03/2001 ICBA Says Revise Broker-Dealer Rule WWR
07/20/2001 ICBA Urges Substantial Change to the SEC's Broker-Dealer Exceptions Rule WWR
05/18/2001 SEC Adopts Interim Rule Outlining Bank Exceptions for Broker-Dealer Registration WWR
01/28/2000 The Gramm-Leach-Bliley Act of 1999: Banks That Engage in Securities Activities Face New Challenges WWR

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