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

The Gramm-Leach-Bliley Act sets forth certain exceptions for banks from the broker-dealer registration requirements of the Securities and Exchange Act of 1934. The final rules to implement certain provisions of the GLBA are known as Regulation R. Retail Nondeposit Investment Sales involve the sale of mutual funds, annuities, and other nondeposit investments to retail customers.

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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


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