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

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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

References

• OCC Bulletin 2023-17, Third-Party Relationships: Interagency Guidance on Risk Management (June 06, 2023)
• OCC Bulletin 2015-2, Retail Nondeposit Investment Products: Revised Comptroller's Handbook Booklet and Rescissions (January 14, 2015)
• OCC Bulletin 2013-39, Social Media: Consumer Compliance Risk Management Guidance: Final Supervisory Guidance (December 17, 2013)
• OCC Bulletin 2011-38, Retail Foreign Exchange Transactions: Interim Final Rule (September 12, 2011)
• OCC Bulletin 2011-34, Retail Foreign Exchange Transactions: Final Rule (July 28, 2011)
• OCC Bulletin 2011-12, Sound Practices for Model Risk Management: Supervisory Guidance on Model Risk Management (April 4, 2011)
• OCC Bulletin 2010-24, Incentive Compensation: Interagency Guidance on Sound Incentive Compensation Policies (June 30, 2010)
• OCC Bulletin 2009-19,Revision to FDIC Rule 12 CFR 360: New Notice Requirements for Sweep Accounts (June 17, 2009)
• OCC Bulletin 2007-42, Bank Securities Activities: SEC's and Federal Reserve's Final Regulation R (October 29, 2007)
• OCC Bulletin 2004-20, Risk Management of New, Expanded, or Modified Bank Products and Services: Risk Management Process (May 10, 2004)
• OCC News Release 2004-23, OCC Issues Contact Information for Questions Concerning Tying (March 23, 2004)
• OCC Bulletin 2003-15, Weblinking: Identifying Risks and Risk Management Techniques (April 23, 2003)
• OCC Bulletin 2001-12, Bank-Provided Account Aggregation Services: Guidance to Banks (February 28, 2001)
• OCC Interpretive Letter #850, Proposed Investment Advisory Program (January 27, 1999)
• OCC Bulletin 1995-52, Retail Sales of Nondeposit Investment Products: Clarification of Interagency Guidelines (September 22, 1995)
• OCC Bulletin 1995-20, Tying Restrictions: Guidance on Tying (April 14, 1995)
• OCC Bulletin 1994-13, Nondeposit Investment Sales Examination Procedures: Interagency Statement (February 24, 1994)
• Banking Circular 275, Free Riding in Custody Accounts (September 3, 1993)
• OTS Thrift Bulletin 23a, Sales of Securities (June 23, 1993)
• Banking Circular 196, FFIEC Supervisory Policy - Securities Lending (May 7, 1985)