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Proposed Rules Broaden Brokerage Opportunities for Banks  


Author:  Joan Teresa Kay.


Source: Volume 20, Number 06, July/August 2007 , pp.35-44(10)




Journal of Taxation and Regulation of Financial Institutions

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Abstract: 

Going beyond the statutory bank exemption from broker-dealer registration, the SEC and the Fed look to open the door even wider for bank brokerage activities. Brokerage opportunities would be broadened for clients with money market accounts, high net worth individuals and institutional investors.

Keywords: Financial Services Regulatory Relief Act;

Affiliations:  .

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