Topic: Nondeposit Investment Products, Sale of
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SEC: ‘Chubb Letter’
No-action letter to Chubb Securities Corp. (Nov. 24, 1993) The NCUA states in Letter to FCUs No. 1-FCU-03 (Dec. 2010): The Securities and Exchange Commission (SEC) permits credit unions to […]
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OCU: Letter CU 1-05 SEC Rule Impacting Broker-Dealer Networking Arrangement with Credit Unions (April 2005)
The OCU has received questions from credit unions about the U.S. Securities and Exchange Commission’s proposed rule impacting broker-dealer networking arrangements with credit unions. Broker-dealers are now requiring credit unions […]
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NCUA: Letter to FCUs No. 10-FCU-03 – Sales of Nondeposit Investments (December 2010)
The purpose of the letter is to provide guidance to federal credit unions on the establishment and operation of third party brokerage arrangements for sales of nondeposit investment products. While […]
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Wis. Admin. Code: DFI-Sec 1.02
Title and Definitions 1.02 Definitions. In ch. 551, Stats., and chs. DFI-Sec 1 to 36 and unless the context otherwise requires: ***** (2) “Broker-dealer” as defined in s. 551.102 (4), […]