Gramm–Leach–Bliley Act (GLBA), Regulation R, and Retail Nondeposit Investment Sales

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Retail Nondeposit Investment Products 
(Comptroller's Handbook, January 2015)
Provides examiner guidance for review of nondeposit investment product retails sales operations, marketing, and promotional activities

References

• OCC Bulletin 2015-2, "Retail Nondeposit Investment Products: Revised Comptroller's Handbook Booklet and Rescissions" (January 14, 2015)
• OCC Bulletin 2013-39, "Social Media: Consumer Compliance Risk Management Guidance: Final Supervisory Guidance" (December 17, 2013)
• OCC Bulletin 2013-29, "Third-Party Relationships: Risk Management Guidance" (October 30, 2013)
• OCC Bulletin 2011-38, "Retail Foreign Exchange Transactions: Interim Final Rule" (September 12, 2011)
• OCC Bulletin 2011-34, "Retail Foreign Exchange Transactions: Final Rule" (July 28, 2011)
• OCC Bulletin 2011-12, "Sound Practices for Model Risk Management: Supervisory Guidance on Model Risk Management" (April 4, 2011)
• OCC Bulletin 2010-24, "Incentive Compensation: Interagency Guidance on Sound Incentive Compensation Policies" (June 30, 2010)
• OCC Bulletin 2009-19,"Revision to FDIC Rule 12 CFR 360: New Notice Requirements for Sweep Accounts"(June 17, 2009)
• OCC Bulletin 2007-42, "Bank Securities Activities: SEC's and Federal Reserve's Final Regulation R" (October 29, 2007)
• OCC Bulletin 2004-20, "Risk Management of New, Expanded, or Modified Bank Products and Services: Risk Management Process" (May 10, 2004)
• OCC News Release 2004-23, "OCC Issues Contact Information for Questions Concerning Tying" (March 23, 2004)
• OCC Bulletin 2003-15, "Weblinking: Identifying Risks and Risk Management Techniques" (April 23, 2003)
• OCC Bulletin 2001-12, "Bank-Provided Account Aggregation Services: Guidance to Banks" (February 28, 2001)
• OCC Interpretive Letter #850, "Proposed Investment Advisory Program" (January 27, 1999)
• OCC Bulletin 1995-52, "Retail Sales of Nondeposit Investment Products: Clarification of Interagency Guidelines" (September 22, 1995)
• OCC Bulletin 1995-20, "Tying Restrictions: Guidance on Tying" (April 14, 1995)
• OCC Bulletin 1994-13, "Nondeposit Investment Sales Examination Procedures: Interagency Statement" (February 24, 1994)
• Banking Circular 275, "Free Riding in Custody Accounts" (September 3, 1993)
• OTS Thrift Bulletin 23a, "Sales of Securities" (June 23, 1993)
• Banking Circular 196, "FFIEC Supervisory Policy - Securities Lending" (May 7, 1985)