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Recordkeeping and Confirmation Requirements for Securities Transactions; Fiduciary Powers of Savings Associations

banking-occ · OCC · Rule · Published 2002-12-12 · 67 FR 76293

Document

Document number
02-31005
Federal Register citation
67 FR 76293
CFR reference
12 CFR 506
Type
Rule
Action
Final rule.
Category
banking-occ
Sub-agency
OCC
Publication date
2002-12-12
Treasury docket
No. 2002-57

Abstract

The Office of Thrift Supervision (OTS) is issuing a final rule specifying the recordkeeping and confirmation requirements for savings associations that effect securities transactions. Under a rule issued by the Securities and Exchange Commission (SEC), savings associations may perform certain broker-dealer activities without registering with the SEC. Today's final rule affords savings association customers the same protections and disclosures provided to bank customers; ensures that examiners will be able to evaluate a savings association's compliance with securities laws and to assess whether savings associations effect securities transactions safely and soundly; and provides savings associations with formal guidance for effecting securities transactions. It does not modify savings associations' authority to effect these transactions. OTS also is amending its regulations governing the fiduciary powers of Federal savings associations. The final rule codifies a series of OTS legal opinions regarding fiduciary powers. The final rule also streamlines application procedures, clarifies when a Federal savings association may act in a fiduciary capacity without obtaining fiduciary powers from OTS, clarifies the scope of Federal preemption of state law in the fiduciary area, and makes other minor or technical changes to OTS's fiduciary powers regulations.

Source

Authoritative
Federal Register document
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