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Board Releases Small Entity Compliance Guide for Regulation R
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August 29, 2008
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| Circular No. 11982 | |
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The Federal Reserve Board has released its Small Entity Compliance Guide for Regulation R. Regulation R, adopted jointly by the Board and the Securities and Exchange Commission in September 2007, implements certain of the key exceptions for banks from the definition of the term "broker" under Section 3(a)(4) of the Securities Exchange Act of 1934, as amended by the Gramm-Leach-Bliley Act. The guide provides a general description of the regulation and contact information for small entities with questions regarding compliance. See the press release for full details.
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