OMB control number
Regulation R-Rule Rule 701. Exemption from the definition of "broker" for certain institutional referrals.
OMB 3235-0624 · SEC.
OMB 3235-0624
Proposed Exchange Act Rule 701 provides a conditional exemption from the definition of broker under Exchange Act Section 3(a)(4). This proposed rule would require a broker or dealer (as part of a written agreement between the bank and the broker or dealer) to notify the bank if the broker or dealer makes certain determinations regarding the financial status of the customer, a bank employees statutory disqualification status, and compliance with suitability or sophistication standards.
The latest form for Regulation R-Rule Rule 701. Exemption from the definition of "broker" for certain institutional referrals. expires 2027-11-30 and is listed under ICR 202407-3235-010.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 89 FR 79984 (OMB 3235–0624).pdf | Supplementary Document |
| 89 FR 59944 (OMB 3235-0624).pdf | Supplementary Document |
| Supporting Statement_Regulation R 2024 DGL REVISED.pdf | Supporting Statement A |
| 3235-0624 60 Day Notice 2021-23159.pdf | Supplementary Document |
| 3235-0624 Jan 3, 2022.pdf | Supplementary Document |
| 30 day notice for rule 701.pdf | Supplementary Document |
| 60 day notice for rule 701.pdf | Supplementary Document |
 Rule 701. Exemption from the definition of "broker" for certain institutional referrals |
Information collection |
All Historical Document Collections
| Reference | Filing | Received | Concluded | Action |
|---|---|---|---|---|
| 202407-3235-010 | Extension without change of a currently approved collection | 2024-10-01 | ||
| 202109-3235-005 | Extension without change of a currently approved collection | 2022-01-11 | Approved without change | |
| 201806-3235-012 | Extension without change of a currently approved collection | 2019-02-01 | Approved without change | |
| 201508-3235-001 | Extension without change of a currently approved collection | 2015-11-17 | Approved without change | |
| 201209-3235-004 | Extension without change of a currently approved collection | 2012-11-30 | Approved without change | |
| 200912-3235-014 | Extension without change of a currently approved collection | 2010-03-02 | Approved without change | |
| 200912-3235-013 | Revision of a currently approved collection | 2009-12-16 | Approved without change | |
| 200612-3235-004 | New collection (Request for a new OMB Control Number) | 2006-12-28 | Preapproved |