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Corporate & Securities Law

: Jim Hamilton's World of Securities Regulation

By Jim Hamilton

SEC and Federal Reserve Board Issue Regulation R Guidance for Small EntitiesGuidance prepared by the staffs of the SEC and Federal Reserve Board has been issued for small entities. The guidance was prepared as a ?small entity compliance guide? under Section 212 of the Small Business Regulatory Enforcement Fairness Act of 1996.Regulation R was jointly adopted last year by the Fed and the SEC to implement the bank broker provisions of the Gramm-Leach-Bliley Act. Regulation R provides a flexible fr read more

Full post as published by Jim Hamilton's World of Securities Regulation on August 31, 2008 (boomark / email).