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 CC

    One of the banking regulations set forth by the Federal Reserve. ...
  4. Regulation 9

    A regulation that permits national banks to open and operate ...
  5. Regulation AA

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

    A regulation intended to prevent discrimination against applicants ...
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. Correlation

    In the world of finance, a statistical measure of how two securities move in relation to each other. Correlations are used ...
  2. Letter Of Credit

    A letter from a bank guaranteeing that a buyer's payment to a seller will be received on time and for the correct amount. ...
  3. Due Diligence - DD

    1. An investigation or audit of a potential investment. Due diligence serves to confirm all material facts in regards to ...
  4. Certificate Of Deposit - CD

    A savings certificate entitling the bearer to receive interest. A CD bears a maturity date, a specified fixed interest rate ...
  5. 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 ...
  6. 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 ...
Trading Center