Documents
Briefs, oral arguments, agency decisions and the Federal Register.
4 results
0.33s
Definitions of Terms and Exemptions Relating to the “Broker” Exceptions for Banks
Federal Register · Proposed Rule · Dec 26, 2006
Record Retention Period Proposed Exchange Act Rule 701 would not include a specific record retention requirement. … Record Retention Period Proposed Exchange Act Rule 741 would not include a record retention requirement. 4.
71 FR 77522Federal Reserve SystemSecurities and Exchange CommissionDefinitions of Terms and Exemptions Relating to the “Broker” Exceptions for Banks
Federal Register · Rule · Oct 3, 2007
The final rules do not, however, prevent a bank from paying an employee on a quarterly or more frequent periodic basis the total amount of nominal, fixed cash fees the employee earned during the period … cash fees that the employee is entitled to receive at the end of the period.
72 FR 56514Federal Reserve SystemSecurities and Exchange CommissionFederal Register · Notice · Sep 5, 2002
Comments addressed to Ms. … Following a public comment period, the agencies will issue in final form their views on sound practices for strengthening the resilience of the financial system in the event of a wide-scale, regional disruption
67 FR 56835Federal Reserve SystemTreasury DepartmentInteragency Paper on Sound Practices To Strengthen the Resilience of the U.S. Financial System
Federal Register · Notice · Apr 11, 2003
Core clearing and settlement organizations consist of two groups of organizations that provide clearing and settlement services for critical financial markets or act as large-value payment system operators … Core clearing and settlement organizations should periodically test recovery and resumption plans at all of their back-up sites.
68 FR 17809Federal Reserve SystemTreasury Department
Ask Donna what matters in the record.
She can read the source against your case and show you exactly where the answer came from.