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| View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
| SEC | RIN: 3235-AI83 | Publication ID: Spring 2009 |
| Title: Registration Requirements for Banks Acting as Brokers or Dealers in Security Futures Products | |
| Abstract: The Division is considering recommending that the Commission propose Rule 15i-1, which would apply the broker-dealer registration requirements of the Exchange Act to banks that act as brokers or dealers in security futures products. | |
| Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
| RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Long-Term Actions |
| Major: Undetermined | Unfunded Mandates: No |
| CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.) | |
| Legal Authority: 15 USC 78o(i) | |
|
Legal Deadline:
None |
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Timetable:
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| Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: None |
| Federalism: No | |
| Included in the Regulatory Plan: No | |
| RIN Data Printed in the FR: No | |
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Agency Contact: Linda Stamp Sundberg Division of Trading and Markets Securities and Exchange Commission 100 F Street NW, Washington, DC 20549 Phone:202 551-5579 Fax:202 772-9270 Email: sundbergl@sec.gov |
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