An official website of the United States government
Parts of this site may be down for maintenance from 8:00 p.m. (ET) on March 24, until 12:00 a.m. (ET) on March 27.
Share This Page:
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.
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
OCC Chief Counsel's Interpretation on National Trust Banks (PDF)
Requests under 716(f) of the Dodd-Frank Act
Register for Monthly Schedule of Short-Term Investment Funds
Register as a Transfer Agent