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45897 (May 8, 2002) (order extending the sea life london voucher codes exemption from the definition of "broker" until May 12, 2003, and from the definition of "dealer" until November 12, 2002 Exchange Act Release.
We considered whether to extend the proposed exemption to cover transactions for additional types of bank customers.
The Commission is sensitive to commenters' requests that banks be given greater flexibility in offering some of their customers a wider range of cash management services that include investing in money market funds that may include investing in money market fund shares that do not.We request comment on the proposed dollar-amount and hourly compensation standards for measuring nominal value in the proposed amended definition of "nominal one-time cash fee of a fixed dollar amount." In particular, are the 15-inflation adjusted and 25 amounts the most appropriate levels?See Economic Systems, Inc, Study of 401(k) Plan Fees and Expenses (April 13, 1998) (study sponsored by the Office of Policy and Research of the Department of Labor's Pension and Welfare Benefits Administration).We do not propose to amend the exemption to permit banks to be compensated for accepting securities orders through revenue sharing arrangements because of the conflicts that these payments create.For the relief the Commission is proposing to extend to thrifts, see Section III.We seek comment on whether replacing the three percent annual revenue limit with the 100,000 annual limit on sales compensation addresses any daily deals on ebay competitive disadvantages that non-depository trusts might have with regard to small banks as a result of the small bank custody exemption.237 Under the interpretation of the exception that these commenters have proffered, a bank could avoid broker-dealer registration for a securities brokerage transaction if an affiliate is involved in the transaction.We solicit comment on the costs and benefits banks expect to incur in complying with the "chiefly compensated" condition in the statute.
Climo, Executive Director, American Bankers Securities Association abasa and the letter dated July 17, 2001 from Edward.
The Commission requests comment on whether the proposed amendments to the small bank custody exemption would have a cost to small broker-dealers.
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33 The Commission staff has used this period during the temporary suspension to continue discussions with banking industry representatives, staff from the Banking Agencies, and other interested parties to refine further the guidance and exemptions provided in the Interim Rules.While some commenters supported the provision, others expressed concern or raised questions about.Background on Safekeeping and Custody Exception Exchange Act Section 3(a 4 B viii) provides an exception from broker-dealer registration with respect to certain securities-related safekeeping and custody services that banks may perform for their customers.Second, Exchange Act Rule 3a4-3 exempts banks from the definition of broker when they act in the narrow role of indenture trustees investing in no-load money market funds.17 Exchange Act Section 3(a 4).S.C.195 One commenter maintained that the examination requirement set forth in the Interim Rules would require banks to set up parallel back offices and other facilities solely for the purpose of relying on the trust and fiduciary activities exception and asked the Commission to clarify.Sections 240.3a4-2 through 240.3a4-6 are removed.As is true under the rule for the savings associations and savings banks, credit unions utilizing this proposed exemption would be subject to all of the same conditions and definitions as are applicable to banks that utilize the exceptions from the definitions of "broker" and.172 One commenter stated that some customers may only want or need a one-time portfolio review.242.781: Exemption from the definition of "broker" for banks for a limited period of time (proposed amendment to and redesignation of Exchange Act Rule 15a-7).First, a bank could calculate the 12b-1 fees based on the number of each class of an investment company's shares held in each account on the last business day of the preceding year, multiplied by the net asset value per share on that day and.