Gramm–Leach–Bliley Act (GLBA), Regulation R, and Retail Nondeposit Investment Sales

The Gramm-Leach-Bliley Act sets forth certain exceptions for banks from the broker-dealer registration requirements of the Securities and Exchange Act of 1934. The final rules, known as Regulation R, implement certain provisions of the GLBA. Retail Nondeposit Investment Sales involve the sale to retail customers of mutual funds, annuities, and other nondeposit investments.

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Retail Nondeposit Investment Products 
(Comptroller's Handbook, January 2015)
Provides examiner guidance for review of nondeposit investment product retails sales operations, marketing, and promotional activities