Regulation R

AAA

DEFINITION of 'Regulation R'

Regulation R implements provisions of the Gramm-Leach-Bliley Act of 1999 regarding banks that are also involved in securities activities. Regulation R details exceptions for banks from the definition of "broker" and "dealer." Activities of banks that fall outside of these exceptions are required to be done by a registered broker-dealer.

INVESTOPEDIA EXPLAINS 'Regulation R'

Regulation R has several exceptions in areas such as third party brokerage, trust and fiduciary activities, sweep accounts, safekeeping and custody activities and others. In addition, Regulation R provides conditional exemptions in areas such as mutual funds, insurance and some securities lending activities.

RELATED TERMS
  1. Regulation EE

    A regulation set forth by the Federal Reserve. Regulation EE, ...
  2. Regulation V

    One of the regulations set forth by the Federal Reserve designed ...
  3. Regulation AA

    A regulation designed to address practices by banks that are ...
  4. Regulation B

    A regulation intended to prevent discrimination against applicants ...
  5. Regulation C

    A regulation that implements the Home Mortgage Disclosure Act ...
  6. Regulation CC

    One of the banking regulations set forth by the Federal Reserve. ...
Related Articles
  1. The Evolution Of Banking
    Credit & Loans

    The Evolution Of Banking

  2. How The U.S. Government Formulates Monetary ...
    Personal Finance

    How The U.S. Government Formulates Monetary ...

  3. Get To Know The Major Central Banks
    Forex Education

    Get To Know The Major Central Banks

  4. How The Federal Reserve Was Formed
    Personal Finance

    How The Federal Reserve Was Formed

comments powered by Disqus
Hot Definitions
  1. Certificate Of Deposit - CD

    A savings certificate entitling the bearer to receive interest. A CD bears a maturity date, a specified fixed interest rate ...
  2. Days Sales Of Inventory - DSI

    A financial measure of a company's performance that gives investors an idea of how long it takes a company to turn its inventory ...
  3. Accounts Payable - AP

    An accounting entry that represents an entity's obligation to pay off a short-term debt to its creditors. The accounts payable ...
  4. Ratio Analysis

    Quantitative analysis of information contained in a company’s financial statements. Ratio analysis is based on line items ...
  5. Days Payable Outstanding - DPO

    A company's average payable period. Calculated as: ending accounts payable / (cost of sales/number of days).
  6. Net Sales

    The amount of sales generated by a company after the deduction of returns, allowances for damaged or missing goods and any ...
Trading Center