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Bank Exceptions to Broker-Dealer Regulation in the Gramm-Leach-Bliley Act

Overview The Securities and Exchange Commission on May 11, 2001 adopted interim final rules addressing the bank exceptions to broker-dealer regulation in the Gramm-Leach-Bliley Act. The new rules will affect most banks and savings associations that enter into third-party brokerage arrangements, act in a trustee or fiduciary capacity, or provide safekeeping and custody services. The new rules are very much a mixed bag, with some very welcome exemptions (particularly for savings associations and savings banks) and some restrictive interpretations that are both questionable and problematic. Overall, both the rules and the adopting release betray the last-minute rush to prepare them and the failure to benefit from notice and comment.

Further White Paper Details
Publisher	Stradley Ronon Stevens & Young	File Format	PDF
Date Published	May 2001	Downloads	1
Format	White Papers
Topics	N/A

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