Division of Trading and Markets

Banks and Other Depository Institutions

Agencies Adopt Final Rules to Implement the Bank 'Broker' Provisions of the Gramm-Leach-Bliley Act
(Press Release No. 2007-198; September 24, 2007)

Definitions of Terms and Exemptions Relating to the "Broker" Exceptions For Banks
(Final Rule Release No. 34-56501; September 24, 2007)

Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules
(Final Rule Release No. 34-56502; September 24, 2007)

Staff Compliance Guide to Banks on Dealer Statutory Exceptions and Rules

Regulation R: Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934 — A Small Entity Compliance Guide