Publications of Interest > Bank Regulatory > Finance > Business & Finance > Practices : Morgan, Lewis & Bockius

02/27/03 SEC Adopts Final Rules Exempting Banks From The Definition Of Dealer – Compliance Date September 30, 2003

LawFlash/Client Alert | Securities LawFlash
Securities Industry

The U.S. Securities and Exchange Commission has adopted final rules concerning when banks meet the Exchange Act definition of “dealer,” as modified by the Gramm-Leach-Bliley Act (GLBA). Effective September 30, ... more

Winter 2003 Comptroller Prevails in Agents' Latest Attack on Bank Insurance Sales, Bank Insurance Marketing

Outside Publications | Article
Kathleen Collins

11/20/02 SEC Proposes Rules Addressing Circumstances When Banks Must Register As Brokers Or Dealers

LawFlash/Client Alert | Securities LawFlash
Jack Drogin, Kathleen Collins, Steven Stone

On October 30, 2002, the SEC proposed rules under the Gramm-Leach-Bliley Act (GLBA) addressing some of the securities activities banks may engage in without having to register as brokers or dealers with the SEC.more